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Full text of "North Carolina Register v.7 no. 21 (2/1/1993)"

j/Ry-Tvs^Azy/^ 



The 
NORTH CAROLINA 

REGISTER 



^ 



iH ILEGIBUS 



IN THIS ISSUE 




EXECUTIVE ORDER 






RECEIVED 


IN ADDITION 




Final Decision Letter 


FEB 3 1993 


PROPOSED RULES 


LAW LIBRARY 


Administration 




Commerce 




Environment, Health, 


and Natural Resources 


Human Resources 




Medical Examiners 




RRC OBJECTIONS 





RULES INVALIDATED BY JUDICIAL DECISION 



CONTESTED CASE DECISIONS 



ISSUE DATE: February 1, 1993 

Volume 7 • Issue 21 • Pages 2382 - 2484 



INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE 



NORTH CAROLINA REGISTER 



TEMPORARY RULES 



The North Carolina Register is published twice a month and 
contains information relating to agency, executive, legislative and 
judicial actions required by or affecting Chapter 150B of the 
Genera] Statutes. All proposed administrative rules and notices of 
public hearings filed under G.S. 150B-21.2 must be published in 
the Register. The Register will typically comprise approximately 
fifty pages per issue of legal text. 

State law requires that a copy of each issue be provided free of 
charge to each county in the state and to various state officials and 
institutions. 

The North Carolina Register is available by yearly subscription 
at a cost of one hundred and five dollars (S105.00) for 24 issues. 
Individual issues may be purchased for eight dollars (S8.00). 

Requests for subscription to the North Carolina Register should 
be directed to the Office of Administrative Hearings, 
P. 0. Drawer 27447, Raleigh, N. C. 27611-7447. 



Under certain emergency conditions, agencies may issue 
temporary rules. Within 24 hours of submission to OAH, the 
Codifier of Rules must review the agency's written statement of 
findings of need for the temporary rule pursuant to the provisions in 
G.S. 150B-21.1. If the Codifier determines that the findings meet 
the criteria in G.S. 150B-21.1, the rule is entered into the NCAC. If 
the Codifier determines that the findings do not meet the criteria, 
the rule is returned to the agency. The agency may supplement its 
findings and resubmit the temporary rule for an additional review 
or the agency may respond that it will remain with its initial 
position. The Codifier, thereafter, will enter the rule into the 
NCAC. A temporary rule becomes effective either when the 
Codifier of Rules enters the rule in the Code or on the sixth 
business day after the agency resubmits the rule without change. 
The temporary rule is in effect for the period specified in the rule or 
180 days, whichever is less. An agency adopting a temporary rule 
must begin rule-making procedures on the permanent rule at the 
same time the temporary rule is filed with the Codifier. 



ADOPTION AMENDMENT, AND REPEAL OF 
RULES 



NORTH CAROLINA ADMINISTRATIVE CODE 



The following is a generalized statement of the procedures to be 
followed for an agency to adopt, amend, or repeal a rule. For the 
specific statutory authority, please consult Article 2A of Chapter 
150B of the General Statutes. 

Any agency intending to adopt, amend, or repeal a rule must 
first publish notice of the proposed action in the North Carolina 
Register. The notice must include the time and place of the public 
hearing (or instructions on how a member of the public may request 
a hearing); a statement of procedure for public comments; the text 
of the proposed rule or the statement of subject matter; the reason 
for the proposed action; a reference to the statutory authority for the 
action and the proposed effective date. 

Unless a specific statute provides otherwise, at least 15 days 
must elapse following publication of the notice in the North 
Carolina Register before the agency may conduct the public 
hearing and at least 30 days must elapse before the agency can take 
action on the proposed rule. An agency may not adopt a rule that 
differs substantially from the proposed form published as part of 
the public notice, until the adopted version has been published in 
the North Carolina Register for an additional 30 day comment 
period. 

When final action is taken, the promulgating agency must file 
the rule with the Rules Review Commission (RRC). After approval 
by RRC, the adopted rule is filed with the Office of Administrative 
Hearings (OAH). 

A rule or amended rule generally becomes effective 5 business 
days after the rule is filed with the Office of Administrative 
Hearings for publication in the North Carolina Administrative Code 
(NCAC). 

Proposed action on rules may be withdrawn by the promulgating 
agency at any time before final action is taken by the agency or 
before filing with OAH for publication in the NCAC. 



The North Carolina Administrative Code (NCAC) is a 
compilation and index of the administrative rules of 25 state 
agencies and 38 occupational licensing boards. The NCAC 
comprises approximately 15,000 letter size, single spaced pages of 
material of which approximately 35% of is changed annually. 
Compilation and publication of the NCAC is mandated by G.S. 
150B-21.18. 

The Code is divided into Titles and Chapters. Each state agency 
is assigned a separate title which is further broken down by 
chapters. Title 21 is designated for occupational licensing boards. 

The NCAC is available in two formats. 

(1) Single pages may be obtained at a minimum cost of 
two dollars and 50 cents (S2.50) for 10 pages or less, 
plus fifteen cents (SO. 15) per each additional page. 

(2) The full publication consists of 53 volumes, totaling in 
excess of 15,000 pages. It is supplemented monthly 
with replacement pages. A one year subscription to the 
full publication including supplements can be 
purchased for seven hundred and fifty dollars 
(S750.00). Individual volumes may also be purchased 
with supplement service. Renewal subscriptions for 
supplements to the initial publication are available. 

Requests for pages of rules or volumes of the NCAC should be 
directed to the Office of Administrative Hearings. 



CITATION TO THE NORTH CAROLINA 
REGISTER 

The North Carolina Register is cited by volume, issue, page 
number and date. 1:1 NCR 101-201, April 1, 1986 refers to 
Volume 1, Issue 1, pages 101 through 201 of the North Carolina 
Register issued on April 1, 1986. 



FOR INFORMATION 


CONTACT 




Office 


of 


Administrativ 


e Hearings, 


ATTN: Ru 


es 


Division, 


P.O. 


Drawer 27447, 


Raleigh, North Carolina 


27611 


-7447, 


(919) 


733-2678. 















NORTH 
CAROLINA 
REGISTER 




Office of Administrative Hearings 

P. O. Drawer 27447 

Raleigh, North Carolina 27611-7447 

(919) 733-2678 



Julian Mann III, 

Director 
James R. Scarcella Sr., 

Deputy Director 
Molly Masich, 

Director of APA Services 



Staff: 

Ruby Creech, 

Publications Coordinator 
Teresa Kilpatrick, 

Editorial Assistant 
Jean Shirley. 

Editorial Assistant 



ISSUE CONTENTS 



I. EXECUTIVE ORDER 

Executive Order 186 2382 

II. IN ADDITION 

Final Decision Letter 2384 

III. PROPOSED RULES 
Administration 

Administration's Minimum 
Criteria 23% 

Environmental Policy Act 2385 

Low-Level Radioactive Waste 

Management Authority 2391 

Commerce 

Cemetery Commission 2398 

Environment, Health, and 

Natural Resources 

Environmental Health 2439 

Environmental Management .... 2438 
Human Resources 

Facility Services 2404 

Social Services 2419 

Licensing Board 

Medical Examiners 2441 

IV. RRC OBJECTIONS 2456 

V. RULES FNVALIDATED BY 

JUDICIAL DECISION 2460 

VI. CONTESTED CASE DECISIONS 

Index to ALJ Decisions 2461 

Text of Selected Decisions 

91 OSP 1161 2464 

92 DOJ 0641 2470 

92 ABC 0739 2477 

VII. CUMULATIVE INDEX 2482 



NORTH CAROLINA REGISTER 

Publication Schedule 
(August 1992 - December 1993) 







Last Day 


Earliest 


Earliest 










for Elec- 


Date for 


Date for 


Last Day 


^Earliest 


Issue 


Last Day 


tronic 


Public 


Adoption 


to Submit 


Effective 


Date 


for Filing 


Filing 


Hearing 


by Agency 


to RRC 


Date 


******* 


******* 


******* 


^es{es}e^c^c^c^c 


******* 


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^fi. ^f. ^f ^fi ^f. lifi -Jfi 


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* Tlie "Earliest Effective Date" is computed assuming that the agency follows the 

publication schedule above, that the Rules Review Commission approves the rule Lit 
the next calendar month meeting after submission, and that RRC delivers the rule to 
the Codifier of Rules five (5) business days before the 1st business day of the next 
calendar month. 



EXECUTIVE ORDER 



EXECUTIVE ORDER NUMBER 186 

NORTH CAROLINA -- HEAD START 

COLLABORATION PROJECT 

ADVISORY COUNCIL 

WHEREAS, the State's impoverished 
children will be more effectively assisted if local, 
state, and national service resources and responsi- 
bilities are shared; and 

WHEREAS, this pooling of resources and 
responsibilities can be better achieved if the vari- 
ous service providers for impoverished children 
have a forum for communicating ideas and coordi- 
nating collaborative projects; 

NOW, THEREFORE, by the authority 
vested in me as Governor by the constitutions and 
laws of North Carolina and the United States, IT 
IS ORDERED: 



Section 1 . 



ESTABLISHMENT 



The North Carolina - - Head Start Collab- 
oration Project Advisory Council is hereby estab- 
lished. 



Section 2. 



MEMBERSHIP 



The following individuals or their 
designees shall serve as members of the Council: 

The Senior Education Advisor in the Offices of 
the Governor; 

The President of the System of Community 
Colleges; 

The Secretary of Environment, Health, and 
Natural Resources; 

The Superintendent of Public Instruction; 

The Secretary of Commerce; 

The Director of the Division of Economic Op- 
portunity in the Department of Human Resources; 

The Director of the Division of Facility Services 
in the Department of Human Resources; 

The Director of the Division of Medical Assis- 
tance in the Department of Human Resources; 

The Director of the Division of Mental Health, 
Developmental Disabilities, and Substance Abuse 
Services in the Department of Human Resources; 

The Director of the Division of Social Services 
in the Department of Human Resources; 

The Director of the Office of Rural Health and 
Development Services in the Department of Hu- 



man Resources; and 

The President of the North Carolina Head Start 
Association. 

In addition, at least nine other members 
shall be named by the Governor from the North 
Carolina Association of County Commissioners, 
the North Carolina Primary Health Care Associa- 
tion, private businesses, and non-profit human 
service providers. 



Section 3. 



CHAIR 



The Governor shall designate the chair of 
the Council, who shall serve at his pleasure. 



Section 4. 



MEETINGS 



The Council shall meet at least quarterly 
at the call of the chair. 



Section 5. 



PURPOSE 



The purpose of this Council is to build 
cooperation between Head Start and other pro- 
grams for impoverished children to ensure such 
children the fullest possible access to such pro- 
grams within North Carolina. It creates a forum 
for state agencies, Head Start representatives, 
private businesses, and other appropriate organiza- 
tions to develop an understanding among them- 
selves of the role, importance of, and opportunities 
for collaboration among the various existing 
service programs for impoverished children. 



Section 6. 



DUTIES 



Together with the Special Assistant for 
Head Start within the Department of Human 
Resources, the Council shall: 

1 . Identify possible projects for collabora- 
tion between state and Head Start agen- 
cies; 

2. Plan and oversee such collaborative 
ventures; and 

3. Serve as an information resource con- 
cerning the goals and objectives of such 
inter-agency collaborative projects. 
The office of the Special Assistant for 
Head Start shall serve as the central 
collection and dissemination point for 
this information. 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2382 



EXECUTIVE ORDER 



Section 7. ADMINISTRATION 

Administrative support for the Council and 
its subcommittees shall be provided by the Special 
Assistant for Head Start in the Department of 
Human Resources ("DHR"). The U.S. Depart- 
ment of Health and Human Services has provided 
$100,000 for the Council under grant number 90- 
CD-0997, "Head Start in North Carolina: Build- 
ing a Better Partnership." This amount includes 
reimbursement for necessary subsistence and travel 
expenses. 

Section 8. EFFECTIVE DATE 

This Order shall be effective immediately. 

Done in Raleigh, North Carolina this the 
6th day of January, 1993. 



2383 7:21 NORTH CAROLINA REGISTER February 1, 1993 



IN ADDITION 



G.S. 1 20-30. 9H, effective July 16, 1986, requires that all letters and other documents issued by the 
Attorney General of the United States in which a final decision is made concerning a "change affecting 
voting" under Section 5 of the Voting Rights Act of 1965 he published in the North Carolina Register . 



U.S. Department of Justice 
Civil Rights Division 



JRD:GS:KAL:gmh 
DJ 166-012-3 
92-4924 



Voting Section 
P.O. Box 66128 
Washington, D.C. 20035-6128 



January 8, 1993 

DeWitt F. McCarley, Esq. 

City Attorney 

P. O. Box 7207 

Greenville, North Carolina 27835-7207 

Dear Mr. McCarley: 

This refers to the fourteen annexations (adopted between June 8 and October 8, 1992) and their 
designation to districts of the City of Greenville in Pitt County, North Carolina, submitted to the Attorney 
General pursuant to Section 5 of the Voting Rights Act of 1965, as amended, 42 U.S.C. 1973c. We received 
your submission on November 10, 1992. 

The Attorney General does not interpose any objection to the specified changes. However, we note 
that Section 5 expressly provides that the failure of the Attorney General to object does not bar subsequent 
litigation to enjoin the enforcement of the changes. See the Procedures for the Administration of Section 5 
(28 C.F.R. 51.41). 



Sincerely, 

John R. Dunne 

Assistant Attorney General 

Civil Rights Division 

By: 

Steven H. Rosenbaum 
Chief, Voting Section 



7:21 



NORTH CAROLINA REGISTER 



February I, 1993 



2384 



PROPOSED RULES 



TITLE I - DEPARTMENT OF 
ADMINISTRATION 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the Department of Administration 
intends to amend rules cited as 1 NCAC25 .0108, 
.0209, .0210. .0211, .0213, .0302, .0401, .0503 - 
.0506, .0603. .0605, .0701 - .0703, .0801 - 
.0802 and adopt rule cited as 1 NCAC 25 .0901. 

1 he proposed effective date of this action is May 
I, 1993. 

1 he public hearing will be conducted at 10:00 
a.m. on February 19, 1993 at the Commission 
Room 5034, Administration Building. 116 West 
Jones Street. Raleigh, NC 27603-8003. 

Reason for Proposed Action: 
1 NCAC 25 .0108, .0209 - .0211, .0213, .0302, 
.0401, .0503 - .0506, .0603, .0605, .0701 - .0703, 
.0801 - .0802 - The amendments are necessary for 
the Department of Administration 's implementation 
of the statutory requirements of G.S. 113A-11, 
which requires the department to adopt rules 
regulating the State's Environmental Policy Act. 
1 NCAC 25 .0901 - This adoption is necessary for 
the implementation of G.S. 1 13A-5 which regulates 
the conduct of executive officers when an adverse 
environmental impact is noted and no mitigation is 
available. 

(comment Procedures: Any interested person may 
present his/her comments either in writing at the 
hearing or orally at the hearing. Any person may 
request information, permission to be heard, or 
copies of the proposed regulations by writing or 
calling David McCoy, Department of Administra- 
tion. 116 West Jones Street. Raleigh, NC 27603- 
8003. 

CHAPTER 25 - NORTH CAROLINA 
ENVIRONMENTAL POLICY ACT 

SECTION .0100 - GENERAL PROVISIONS 

.0108 SCOPE 

(a) This Chapter is applicable to any situation 
where there is: 

( 1 ) an expenditure of public monies or use 
of public land ; and 

(2) an action by a state agency subject to 



this Chapter; and 
(3) a potential environmental effect upon 
either natural resources, public health 
and safety, natural beauty, or historical 
or cultural elements of the state's com- 
mon inheritance, 
(b) For the purpose of this Chapter: 
(1) "Action" includes but is not limited to 
licensing, certification, permitting, the 
lending of credit, expenditures of public 
monies, and other similar final agency 
decisions the absence of which would 
preclude the proposed activity. Action 
does not include the allocation of any 
public f e deral or stat e funds transferred 
by a stat e agency in accordance with a 
statutory or regulatory formula, which 
leave no discretion to the allocating 
agency. 

Note: This last exception is intended to 
exclude the following types of reve- 
nues: Powell bill, sales tax, intangibles 
tax, beer and wine taxes, utility fran- 
chise taxes, and General Revenue Shar- 
ing. 
"Environmental effect" includes direct, 



(2) 



primary indirect , s e condary, and cumu- 
lative impacts for the project or pro- 
gram that may be significant, depending 
upon the manner in which the activity 
is carried out. 

(3) "Public monies" includes all expendi- 
tures in support of the proposed activity 
by federal, funds in the custody of any 
state or local public or quasi-public 
entities entity from whatever source 
derived, but does not include resources 
used solely for processing a license, a 
certificate, or a permit; the lending of 
credit; or the resources used for the 
provision of technical services. 

(4) "State Project Agency" means the state 
department or council of state agency 
[as defined jn Subparagraph (b)(6) of 
this Rule! ag e ncy which has been desig- 
nated pursuant to Rule .0210(a) of this 
Chapter for ensuring compliance with 
the N.C. Environmental Policy Act. 

(5) "State" includes all entities covered by 
the Executive Budget Act, Article One 
of the General Statutes, Chapter 143. 

(6) "State Agencies subject to this Chapter" 
means: 

(A) the departments listed in G.S. 
143B-1 1;3 



2385 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



(B) boards, commissions, committees and 
councils organized within the depart- 
ments listed in G.S. 143B-2; 

(C) other departments, boards, commis- 
sions, committees and councils which 
adopt the provisions of this Chapter 
directly or by reference; and 

(D) all entities within the executive branch 
of state government when a final 
decision is required under G.S. 
113A-5. 

(7) The definitions contained in G.S. 1 13A- 
I through G.S. 1 13A-13 are 
incorporated by reference. 

Statutory Authority G.S. 113A-11. 

SECTION .0200 - NCEPA 

ADMINISTRATION/ 

ENVIRONMENTAL IMPACT 

.0209 ADMINISTRATION: OTHER 

AGENCIES' RESPONSIBILITIES 

(a) The Department of Administration (depart- 
ment) is designated as the primary agency to assist 
state project agencies in fef ensuring compliance 
with the NCEPA. 

(b) The department shall set policy, establish 
rules procedures and assist in en s ur e obtaining 
compliance with the NCEPA. Nothing in these 
Rules should be construed as giving the department 
the authority, delegated or otherwise, to impinge 
on the statutory responsibilities that have been 
given to cabinet agencies or boards and commis- 
sions within those agencies. 

{ej — Th e d e partm e nt s hall p e rform an advisory 
role to assist Council of Stat e ag e nci es in compli 
ance with th e NCEPA. 

Statutory A uthority G.S. 113A-11. 

.0210 COMPLIANCE WITH PROCEDURES 

(a) State Project Agency. For each activity 
subject to this Chapter, one agency must serve as 
the State Project Agency, and take the responsibili- 
ty for ensuring compliance with the NCEPA. If 
more than one state agency is involved, a meeting 
will be held and voluntary agreement on the State 
Project Agency responsibility will be sought. 
Where no agreement is reached among the agen- 
cies, the secretary of the department, with the 
advice of the Environmental Policy Act Advisory 
Committee Council , shall designate the State 
Project Agency. The other involved agencies shall 
be cooperating agencies. 



(b) Non-state Local projects. State agencies 
may ask federal and local agencies or special 
purpose units of government and private compa- 
nies to submit information about the proposed 
activity where the local government or company is 
involved in planning, construction, or otherwise 
conducting the proposed activity project or pro 
gram , and the only state involvement is permit 
granting or plan approval; however, the State 
Project Agency is ultimately responsible for 
compliance with the act. 

Statutory Authority G.S. 113A-11. 

.0211 STATE CLEARINGHOUSE 

(a) The Department of Administration shall 
maintain a clearinghouse to coordinate and admin- 
ister the requirements of this Chapter. 

(b) Among its responsibilities the Clearinghouse 
shall: 

(1) receive and circulate environmental 
documents for review and comment as 
provided by these Rules; 

(2) forward all comments generated by the 
review process to the State Project 
Agency and, where appropriate, pre- 
pare a single integrated letter of re- 
sponse; 

(3) retain a complete record of environ- 
mental documents, review comments, 
and other substantive materials related 
to the operation of the Clearinghouse; 

(4) train review coordinators from within 
all state agencies; and 

(5) coordinate the establishment of mini- 
mum criteria and ensure that thresholds 
are consistent among all agencies. 

Statutory Authority G.S. 113A-11. 

.0213 ENVIRONMENTAL POLICY 

ACT ADVISORY COMMITTEE 

(a) The secretary of the Department of Adminis- 
tration or a person so designated by the secretary, 
shall serve as the Chair of the Environmental 
Policy Act Advisory Committee Council . 

(b) The purpose of the committee council is to 
provide technical advice to the secretary of the 
department on environmental issues related to the 
NCEPA. 

(c) The secretary will request that nominations 
be made for the committee council from those 
departments most involved in environmental 
protection issues . These include but are not limited 
to, the Departments of Cultural Resources, Human 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2386 



PROPOSED RULES 



Resources, Environment. Health, and Natural 
Resources. Natural — R e sourc es — and — Community 
Dev e lopment, and Justice, and Transportation . 

Statutory Authority G.S. 113A-11. 

SECTION .0300 - MINIMUM CRITERIA 

.0302 APPROVAL OF CRITERIA 

The following procedures will be used in the 
establishment of minimum criteria: 

( 1 ) The agency will prepare a draft list of the 
minimum criteria, describing the ease of 
measuring the criteria, and how the 
criteria predict the environmental impact 
of projects. The agency will submit 
these lists to the Clearinghouse for circu- 
lation and review. 

(2) The Clearinghouse will solicit comments 
on the criteria from interested parties or 
agencies having expertise or jurisdiction 
by law, and will publish a notice of the 
criteria in the Environmental Bulletin. 
The period of review is 30 4-§ working 
days from the date of publication in the 
Environmental Bulletin. 

(3) The Clearinghouse will forward all com- 
ments on the criteria to the submitting 
agency. In addition. Clearinghouse staff 
will review the criteria to ensure consis- 
tent thresholds among agencies and make 
any necessary recommendations. 

(4) If there are no comments, the criteria 
will be approved by the secretary of the 
department. 

(5) The agency will review all comments and 
submit a final li-t of minimum criteria to 
the Clearinghouse. 

(6) The Clearinghouse will recommend to the 
Secretary of the Department of Adminis- 
tration approval or rejection of the crite- 
ria based on the consideration incorpora 
tieft of all comments. 

(7) Minimum criteria shall be re\ iewed every 
five years and revised as necessary. 

Statutory Authority G.S. 1 13A-11. 



the following environmental documents: 

(lj an environmental assessment (EA), 

(2) a finding of no significant impact 
(FONSI). or 

(3) an environmental impact statement 
(EIS), 

(4) a record of decision (RODi. 

(bi The agency responsible for compliance may 
choose to immediately prepare an EIS if the 
proposed project is of significant size or complexi- 
ty- 

(c) For all other projects not cov e r e d by mini 
mum crit e ria , an EA shall be prepared. 

(d) If the EA demonstrates that the project 
activity will not have a significantly adverse effect 
on the quality of the environment, the State Project 
Agency will file a FONSI. 

(e) If the environmental assessment demonstrates 
that the project may result in a significant adverse 
affect on the quality of the environment, the State 
Project Agency will file an EIS in accordance with 
Section .0600 of this Chapter. 

( f I Before an activity is commenced for which 
an EIS has been completed, the State Project 
Agency will file an ROD as required by Section 
.0600 of this Chapter. 

Statutory- A uthority- G.S. 1 13A-1 1. 

SECTION .0500 - ENVIRONMENTAL 
ASSESSMENT 

.0503 FORMAT 

An EA is to be a concise document not to exceed 
25 40 pages, containing the following: 
( 1 1 A cover sheet including the name, ad- 
dress and telephone number of the person 
in the State Project Agency who can 
supply additional information. The cover 
sheet shall also contain: 
(a) designation of the statement as an EA: 
(bi title of the proposed activity that is the 

subject of the document: and 
(c) list of any involved cooperating agen- 

cies. 
(2) A section for each item listed in Rule 
.0502 of this Section. 



SECTION .0400 - COMPLIANCE 



Statutory Authority G.S. II3A-I1. 



.0401 METHOD OF COMPLIANCE 

(a) Unless a project falls below the threshold 
established in an agency's approved minimum 
criteria, compliance with this Chapter will be 
achieved through the preparation of one or more of 



.0504 INTERNAL REVIEW 

(ai Once an EA is prepared, the State Project 
Agency must decide if it is satisfied as to the 
completeness of its assessment. If no significant 
adv e rs e environmental impacts are predicted, the 



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PROPOSED RULES 



agency may then submit both the EA and FONSI 
to the Clearinghouse for review. 

(b) The agency may choose to submit only the 
EA and use the comments, if any, to determine 
how to proceed. If an agency chooses this proce- 
dure, the review process for the EA shall be the 
same as Rule .0506 of this Section for both re- 
views. 

Statutory Authority G.S. 113A-11. 

.0505 CONTENT OF FONSI 

A FONSI shall contain the following informa- 
tion: 

(1) a brief narrative description of the pro- 
posed activity including a description of 
the area affected by the proposed activity 
and a site location map, where appropri- 
ate; 

(2) a list of probable environmental impacts 
of the proposed activity; 

(3) a list of the reason(s) for concluding that 
the action will not have a significant 
adverse effect on the quality of the envi- 
ronment, with reference to mitigation 
activities to be carried out, thereby negat- 
ing the necessity of preparation of an 
EIS; 

(4) a statement that no EIS is to be prepared 
and that the FONSI completes the envi- 
ronmental review record which is avail- 
able for inspection at the Clearinghouse. 

f§-) a summary of the FONSI which shall b e 

publish e d in th e Environm e ntal Bull e tin. 

Statutory Authority G.S. 113A-11. 

.0506 REVIEW PROCESS 

(a) The State Project Agency must submit 
sufficient copies of the EA and FONSI to the 
Clearinghouse. The Clearinghouse will circulate 
these documents to state and local officials to 
obtain comments and will publish a Notice of 
Availability th e s ummary of th e FONSI in the 
Environmental Bulletin. Reading copies will be 
made available at the Clearinghouse for any 
interested parties. The review period is 30 4-5 
working days after publication in the bulletin. 

(b) Each reviewing agency and any interested 
party may make comments on the adequacy of the 
documents, and — wh e ther — ae — E+S — s hould — be 
pr e par e d. 

(c) Based on consideration of the comments 
submitted, the Clearinghouse will advise the state 



project agency as follows: recommend to the 
secretary of the d e partm e nt wh e ther or not an EIS 
must be completed. — If there are no significant 
comments, the d e partment will notify the Stat e 
Project Ag e ncy that it has complet e d the review 
proc ess r e quir e m e nts for the act. 

(1) the document has been determined to 
lack sufficient information. Supplemen- 
tal documentation which provides ade- 
quate information should be submitted 
to the Clearinghouse for review and 
comment; 

(2) the document does not satisfy a finding 
of no significant impact and an EIS 
should be prepared; 

(3) the document is adequate and the next 
appropriate level document should be 
prepared for review; or 

(4) the document is adequate and completes 
the review process requirements for the 
act. 

(d) The State Project Agency may adopt or 
reject the Clearinghouse's recommendation . 

(e) No administrative or judicial review is 
permitted unless undertaken in connection with 
review of the agency action. No other review of 
an environmental document is permitted. 

Statutory Authority G.S. 113A-11. 

SECTION .0600 - ENVIRONMENTAL 
IMPACT STATEMENTS 

.0603 FORMAT AND CONTENT 

Agencies should use a format for EIS's which 
will encourage good analysis and clear presentation 
of all alternatives, including the proposed activity 
while minimizing length and 
complexity. complicity. These documents should 
not exceed 60 50 pages and should include site 
location maps. Format: 

(1) Cover Sheet. A single cover sheet 
including the following information: 

(a) designation of the document as a draft, 
supplementary or final statement; 

(b) title of the proposed activity that is the 
subject of the statement; 

(c) list of any involved cooperating 
agencies; and 

(d) name, address, and telephone number 
of the person in the State Project 
Agency who can supply further 
information. 

(2) Summary. An adequate and accurate 
summary of the statement stressing the 



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PROPOSED RULES 



major conclusions, areas of controversy, 
and issues to be resolved. The summary 
shall also list all federal, state, and local 
permits, licenses, certifications, and other 
approvals which must be obtained in 
implementing the proposal. If there is 
any uncertainty about whether any one of 
these is necessary, it should be so 
indicated. 

(3) Purpose and Need. The underlying 
purpose and need to which the ag e ncy is 
being responded to by r e sponding — m 
proposing the proposed activity. 

(4) Alternatives including proposed activity. 
Based upon information and analysis 
presented in the following sections on the 
affected environment and environmental 
consequences, it should present the 
environmental impacts of the alternatives 
including the proposed activity in 
comparative form. To the extent possible 
the comparison of alternatives should 
quantify how the purpose and need would 
be satisfied by each alternative and the 
proposed activity. This section is the 
heart of the EIS. sharply defining the 
issues and providing a clear basis for 
choice among options by decision makers 
and the public. It should also: 

(a) explore and evaluate all reasonable 
alternatives, including those not within 
the jurisdiction of the State Project 
Agency and the alternative of no action; 

(b) discuss the reasons for the elimination 
of alternatives from detailed study; 

(c) identify the agency's preferred 
alternative(s) in the draft statement and 
identify' such alternatives in the final 
statement, unless another law prohibits 
the expression of such a preference; 

(d) include appropriate mitigation measures 
not already included in the alternatives; 
and 

(e) assess the social and economic impacts 
of each alternative. Impacts should be 
quantified for each alternative, where 
feasible, but when quantification by 
standard economic tools is not feasible 
or intangibles are involved. a 
description of each impact is required. 

(5) Affected Environment. The EIS must 
describe the environment of the area(s) to 
be affected and the environment to be 
created by the alternatives under 
consideration. The description should be 



(6) 



(a) 
(b) 

id] 



iej 



fe) 



(V) 



(8) 



(a) 



(b) 
(c) 
(d) 



no longer than is necessary to understand 
the effects of the alternatives. Data and 
analysis in a statement should be 
commensurate with the importance of the 
impact, with less important material 
summarized, consolidated, or simply 
referenced. 

Environmental Consequences. This 
Section forms the scientific and analytic 
basis for the comparisons under Rule 
.0603(4) of this Section: 
direct effects and significance; 
indirect effects and significance; 
cumulative effects and significance; 
the relationship between the short-term 
uses of the environment involved in the 
proposed action and the maintenance 
and enhancement of long-term 



productivity; and 
any irreversible 



and irretrievable 



environmental changes which would be 
involved in the proposed action should 
it be implemented; 

(f) possible conflicts between the 

proposed activities and the objectives of 

federal, state, and local plans, policies, 

and controls for the affected area. 

List of Preparers. The EIS shall list the 

names and qualifications of the persons 

who were primarily responsible for 

preparing the EIS. 

Appendix. If an appendix is included in 
an EIS, it should meet the following 
requirements: 
consist of materials substantiating any 
analysis fundamental to the principal 
document, as distinct from material of 
lesser significance that may accompany 
the document or be incorporated by 
reference: 

normally be analytic and relevant to the 
decision to be made; 
shall not be counted in the EIS 60 50 
page limit; and 

be circulated with the EIS or be readily 
available upon request. 



Statutory- Authority G.S. 113A-11. 

.0605 REVIEW PROCESS 

(a) Draft EIS. This document shall be submitted 
by the State Project Agency and circulated for 
comment by the Clearinghouse as set out in Rule 
.0506 of this Chapter. Notice of the availability of 
the EIS shall be printed in the Environmental 



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PROPOSED RULES 



Bulletin, and a 45 3© calendar-day period of 
review after this notice is published is to be 
allowed. 

(b) The Clearinghouse will forward copies of all 
comments made by reviewers to the State Project 
Agency for incorporation in the final document. 

(c) Final EIS. The State Project Agency shall 
submit copies of the final EIS to the Clearing- 
house. These documents shall be circulated to the 
original reviewers for a final review. Notice shall 
also be given in the Environmental Bulletin. 
Thirty calendar Fift ee n working days after publica- 
tion of the bulletin shall be allowed for final 
review. 

(d) Based on consideration of the comments 
submitted, the Clearinghouse will advise the state 
project agency as follows: 

(1) the document has been determined to 
lack sufficient information. Supplemen- 
tal documentation which provides ade- 
quate information should be submitted 
to the Clearinghouse for review and 
comment; 

(2) a final EIS should be prepared for 
review addressing the comments sub- 
mitted; or 

(3) the document is adequate and completes 
the review process requirements for the 
acL 

The C le aringhouse shall pr e par e a r e comm e ndation 
for the s e cr e tary' of th e d e partm e nt that th e r e cord 
be clos e d, and that a l e tt e r of complianc e with th e 
r e view proc e ss requir e ments b e issu e d, or that the 
docum e nt be return e d to th e Stat e Proj e ct Ag e ncy 
for additional work. — If appropriat e , th e se cr e tary 
of the d e partm e nt may r e qu es t a respons e to the 
comments. 

(e) The State Project Agency may adopt or 
reject the Clearinghouse's recommendation. 

(f) No administrative or judicial review js 
permitted unless undertaken in connection with 
review of the agency action. No other review of 
an environmental document [s permitted. 



{2) a — d e t e rmination — by — the — State — Proj e ct 

Agency that a proj e ct falls below th e 
threshold set in approved minimum crit e 
ria, or that an e nvironmental document 
will not oth e rwi se b e prepared; 

0) a d e t e rmination that a FONS1 or EIS 

s hould b e prepared; or 

{A) acc e ptanc e of the adequacy of the EIS. 



Statutory Authority G.S. 113A-11. 

.0702 PROCEDURE FOR 

RECONSIDERATION 

All requests for reconsideration must be in 
written form, and should be directed to the Secre- 
tary of the Department of Administration and the 
Director of the Clearinghouse. The request must 
be made within 30 days after the completion of the 
normal review cycle, or at any time if no notice 
has been published in the Environmental Bulletin. 
Review of requests for reconsideration will be 
limited to the written request and supporting 
documentation. No party will be allowed to 
present oral testimony, to depose or otherwise 
cross-examine witnesses, to argue the matter or 
otherwise convert the review into an adjudicatory 
hearing as that term is used in G.S. 150B-2(2). 

Statutory- Authority G.S. 1 13A-11 . 

.0703 DECISION OF THE SECRETARY 
FINAL 

In reconsidering any matter pursuant to this 
Section, the Secretary of the Department of Ad- 
ministration may seek the advice of the Environ- 
mental Policy Act Advisory Council. The secre- 
tary of the Department of Administration shall 
affirm or reverse the e nvironmental determination, 
shall direct compliance with that decision, and 
shall notify the person or agency requesting recon- 
sideration. 

Statutory Authority G.S. 113A-11. 



Statutory- Authority G.S. 113A-11. 

SECTION .0700 - PROCEDURE FOR 

RECONSIDERATION OF 

MINIMUM CRITERIA 

.0701 ACTIONS WHICH MAY BE 
RECONSIDERED 

Any state or local agency or citizen may request 
a consideration of any of the following: 
fH rejection or acceptance of minimum criteria. 



SECTION .0800 - MAJOR DEVELOPMENT 
PROJECTS 

.0801 SCOPE 

Local governing bodies, under the provisions of 
G.S. 113A-8 may require by ordinance environ- 
mental documentation from special-purpose units 
of government and private developers of major 
projects. This Section establishes the state's role 
when this option is exercised. 



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2390 



PROPOSED RULES 



Statutory Authority G.S. 113A-8: 113A-11. 



Raleigh, N.C. 



.0802 PROCESS 

(a) Upon the request of the local government, 
state agencies with jurisdiction by law or special 
expertise shall advise on matters related to the 
environmental documentation. This is not to 
relieve the local government of their responsibility 
under G.S. 1 13A-8 or to accept any responsibility 
on behalf of the state for the preparation of the 
document. 

(b) An environmental document as defined in 
G.S. 113A-4(2) may be submitted to the 
Clearinghouse by the local government. The 
Clearinghouse shall circulate the document for 
review and comment in the same manner as 
provided in this Chapter. 

(c) Upon notification from the local government 
that an environmental document is to be required, 
the Clearinghouse shall send notification to all 
affected state agencies and publish such notice in 
the Environmental Bulletin. In processing 
applications for state permits, state agencies may 
s hall consider any information generated by the 
local government pursuant to this Section. 

Statutory Authority G.S. 113A-8; 13A-11. 

SECTION .0900 - GOVERNOR'S REVIEW 

.0901 REVIEW BY GOVERNOR 

In those specific cases where the environmental 
document indicates a major adverse environmental 
impact for which alternatives are not available, the 
Governor shall be so advised by the responsible 
state official. 

Statutory Authority G.S. 1 13A-1 1. 

IS otice is hereby given in accordance with G.S. 
150B-21.2 that the NC Low-Level Radioactive 
Waste Management Authority intends to amend 
rules cited as 1 NCAC 37 .0102 - .0103. .0201. 
. 0306. 

1 he proposed effective date of this action is May 
3. 1993. 

1 he public hearing will be conducted at 7:00 
p.m. on February 22, 1993 at the McKimmon 
Center, Corner of Gorman & Western Blvd. , 



IXeason for Proposed Action: The amendments 
are necessary to specify procedures by which the 
Authority will carry out its statutory duties to 
select a single preferred site, which it must carry 
out by December 31, 1993, and to specify two 
criteria unique to this final selection. Rules 
governing this duty are required by G.S. 
§104G-6(a)(2). (a)(20) and 9(b), and were 
originally adopted in 1988. Tfie amendments- 
incorporate lessons learned in the five years of 
preliminary site selection carried out under the 
original rules. 

Ksomment Procedures: TJie Authority will receive 
and consider written comments from the public 
through March 3, 1993. Written comments should 
be sent to: Rulemaking Coordinator, Chrystal H. 
Stowe, 116 West Jones Street, Suite 2109, Raleigh, 
N. C. 27603-8003. Oral comments will be received 
at a public hearing on February 22. 1993. Oral 
presentations will be limited to no more than five 
minutes to allow all persons to be heard. Speakers 
should sign up at the meeting. 

CHAPTER 37 - N.C. LOW-LEVEL 

RADIOACTIVE WASTE MANAGEMENT 

AUTHORITY 

SECTION .0100 - GENERAL 
INFORMATION 

.0102 DEFINITIONS 

(a) The definitions contained in G.S. 104G-2 
and !5A -W NCAC 11 .1202 3G .3302 apply to 
rules contained in this Chapter. 

(b) As used in this Chapter "facility" means a 
low-level radioactive waste disposal facility as 
defined in G.S. 104G-2(7). 

(c) As used in Section .0200 the term "proximi- 
ty" means distance from a location or activity that 
could involve an impact, either positive or nega- 
tive, or beneficial or detrimental. 

(d) As used in this Chapter "community" means, 
primarily, a county of the State of North Carolina. 
However, the term may include, as well, any local 
unit of government associated with an identifiable 
locality and a permanent population, such as a city 
or a town. 

(e) Within this Chapter, "preferred site" means 
land within and upon which the facility disposal 
cells and buffer area may be located, whether or 



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PROPOSED RULES 



not such land is identified in terms of legal de- 
scription. The term includes any contiguous or 



proximate land which is identified, at the time of 
preferred site selection, as the intended site of 
administrative outbuildings or other appurtenances 
to be associated with the facility, and any charac- 
terized, suitable land beyond the initial license 
area. 

(f) Within this Chapter, "initial license area" 
means land within the preferred site that [s desig- 
nated for the location of such disposal cells and 
buffer zone as are to be described in an application 
for a license to dispose of such low-level radioac- 
tive waste as North Carolina may reasonably be 
expected to accept for disposal in the course of 
fulfilling hs legal obligations to the Southeast 
Interstate Low-Level Radioactive Waste Manage- 
ment Compact, as such obligations are expressed 
in GJL, 104F-1, Article V(e). 

(g) Within this Chapter, "characterized, suitable 
land beyond the initial license area" means land 
outside the boundaries of the initial license area 
that, based upon characterization, is suitable for 
disposal of such further low-level radioactive waste 
beyond the volume contemplated in the initial 
license application as North Carolina may be 
required to accep t for disposal pursuant to the 
terms of G.S. I04F-1, Article V(e). 

(h) Within this Chapter, "participate In the 
Authority's selection of its preferred site" means: 

( 1 ) to take part m the Authority's formal 
pre-voting discussion and deliberations 
conducted pursuant to Rule .0306(h) of 
this Chapter concerning the suitability 
of any potentially suitable site for selec- 
tion as the preferred site; 

(2) to cast a vote pertaining to site selection 
at the preferred-site selection meeting 
conducted pursuant to Rule .0306 of 
this Chapter; 

(3) to cast a vote for the precise boundaries 
of any preferred site chosen at a meet- 
ing conducted pursuant to Rule .0306 
of this Chapter; or 

(4) at any time after the Authority's public 
announcement of the date of the meet- 
ing at which it will deliberate and vote 
on the selection of its preferred site, to 
attempt to persuade or influence any 
other member to cast his votes in these 
matters in a particular way. 

(i) Within this Chapter, "pecuniary interest in 
any potentially suitable site under active consider- 
ation" means any of the following: 

( 1 ) personal ownership of any interest in 



real estate comprising all or any part of 
a site having undergone characterization 
and continuing thereafter as a candidate 
for selection by the Authority as hs 
preferred site; 

(2) ownership of a legal or equitable inter- 
est in any business entity owning an 
interest m real estate comprising all or 
any part of a site having undergone 
characterization and continuing thereaf- 
ter as a candidate for selection by the 
Authority as rts preferred site; within 
this Chapter, no person shall be consid- 
ered to have an interest jn any business 
entity whose interest in such a business 
entity does not exceed one-half of one 
per cent of the capital stock of such 
business entity; 

(3) full-time employment by any commer- 
cial business entity known to the indi- 
vidual to own any interest fn real estate 
comprising all or any part of a site 
having undergone characterization and 
continuing thereafter as a candidate for 
selection by the Authority as rts pre- 
ferred site; or 

(4) receiving, either individually or as an 
owner, partner, member, or employee 
of a commercial business or profession- 
af entity, compensation in the amount 
of two thousand dollars ($2.000) or 
more during the preceding calendar 
year from any person or business entity 
owning an interest in real estate com- 
prising all or any part of any site under 
consideration by the Authority for 
selection as tfie preferred site. 

0) Within Rule .0306 of this Chapter, "signifi- 
cant pecuniary benefit" means the accrual of 
income in the amount of two thousand dollars 
($2,000) or more to an individual that would not 
have accrued to that individual hut for the selection 
of a particular characterized site as the preferred 
site. 

Statutory Authority G.S. W4G-6(a)(2); 104G- 
6(a)(20); 104G-9. 

.0103 MAILING LIST 

The Authority maintains mailing lists for its 
rulemaking and public meeting activities. Individ- 
uals wishing to be notified of these activities 
should send a letter to: 

Low-Level Radioactive Waste Management 



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2392 



PROPOSED RULES 



Authority 

Mailing List 

Suite 209 Comm e rc e Building 

19 W. Hargett Street 

Raleigh. NC 2760 1 

1 16 West Jones Street 

Raleigh. NC 27603-8003 



stating the particular activity or activities for which 
notice is requested and the name, address and 
phone number of requester. A fee may be charged 
to cover the actual cost of providing this notice. 

Statutory Authority G.S. 104G-6; 104G-9: 150B- 

21.2. 

SECTION .0200 - SITE SELECTION 
CRITERIA 

.0201 INTRODUCTION 

The rules contained in this Section set forth the 
criteria which the Authority will consider in 
selecting a site for the location of a low-level 
radioactive waste disposal facility. In selecting 
this site the Authority must comply with the 
applicable siting factors and requirements criteria 
set forth in 15A +9 NCAC 11 .1200 (Land Dispos- 
al of Radioactive Waste) 3G .3328 and G.S. 104G^ 
which are incorporated in this Chapter by refer- 
ence. All subsequent amendments and editions of 
the referenced material are included in this incor- 
poration. The rules contained in this Section set 
forth additional criteria to be considered by the 
Authority in evaluating and selecting a site for the 
facility in accordance with G.S. 104G. The 
written justification for the criteria contained in 
these Rules is available from the Authority at the 
mailing address set out in 1 NCAC 37 .0103. 

Statutory Authority G.S. 104G-6; 104G-7; 104G-9; 
150B-21.6. 

SECTION .0300 - SITE SELECTION 
PROCEDURE 

.0306 PREFERRED SITE 

(a) The authority shall select a preferred site in 
accordance with G.S. 10 4 G 20 104G-9 and the 
procedures contained in this Rule. 

(b) The site shall be selected in accordance with 
the criteria set out in 1 NCAC 37 .0200 and the 
following additional criteria: 

( 1 i the advantages of siting the facility to 
minimize the displacement of perma- 
nent residents or improvements to real 



pro perty, including but not limited to 
ongoing businesses and commercial 
enterprises or utility easements and 
infrastructure, if any: and 
(2) the relative costs of facility develop- 
ment on alternative sites, including but 
not limited to: 

(A) costs of acquisition of land or rights 
of way; 

(B) costs of construction and appurtenant 
improvements: and 

(C) relocation costs, including those for 
permanent residents or improvements 
to real property including, but not 
limited to. ongoing businesses, com- 
mercial enterprises, or utility ease- 
ments and infrastructure, if any. 

(c) Prior to the selection of a preferred site, the 
Authority shall conduct at least one public meeting 
in each area where a potentially suitable site has 
been selected. Notice of the meeting shall be 
published at least 15 days in advance of the meet- 
ing. Notice of the meeting shall be published in a 
newspaper of general circulation in the area and 
shall be sent to the Chairman of the county com- 
missioners, the county manager and the county 
health director of any county in which a site has 
been identified; the mayor, the manager and the 
Chairman of the council of any municipality in 
which a potentially suitable site has been identi- 
fied, and any person who has requested a copy of 
the notice in accordance with the procedure set out 
in 1 NCAC 37 .0103. The notice shall include the 
date, time and place of the meeting; topics to be 
addressed at the meeting; the manner in which 
public comment will be accepted; and the name of 
the individual to contact for further information. 

(d) Information considered during the selection 
process shall include information provided by the 
ii it e de s ignation r e vi e w committ ees County Boards 
of Commissioners and information obtained at the 
public meetings, and may include additional 
information which the Authority deems appropri- 
ate. 

(e) In making this selection, the Authority shall 
actively seek a suitable community interested in 
hosting the facility, from among the 2 or 3 sites 
selected, and shall provide information concerning: 

( 1 ) the opportunities for involvement in the 
decision-making process regarding the 
construction and operation of the facili- 
ty; 

(2) information regarding the facility opera- 
tor and the proposed technology: and 

(3) economic incentives available to the 



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PROPOSED RULES 



host including reimbursement for lost 
land values, lost revenues, incom e 
availabl e from th e trust fund, and au- 
thorized taxes or fees. 
(f) Prior to voting on any motion to select a 
preferred site, each member of the Authority will 
be afforded an opportunity to consider the follow- 
ing relevant and material data and evidence: 
104F, and 104G; 



lii 

lZi 

£3} 

14) 



{5} 



16] 



Hi 



18) 



19] 



G.S. 104E, 

1 NCAC 37 and 15A NCAC 1 I .0400 

and . 1 200; 



U) CFR Part 61; 

PHASE 1 SCREENING 



STUDY, 



IDENTIFICATION OF POTENTIAL- 
LY SUITABLE AREAS, prepared by 
Ebasco Services, Inc., and submitted to 
the Authority November 30, 1988; 
NCLLRW DISPOSAL SITE SCREEN- 
ING PROCESS, PHASE 2 TASK I 
IDENTIFICATION OF CANDIDATE 
AREAS, prepared by Ebasco Services, 
Inc., and submitted to the Authority 
March 20, 1989; 

SUMMARY OF QUESTION AND 
ANSWER SESSIONS, COMMUNITY 
FORUMS HELD BY THE NORTH 
CAROLINA LOW-LEVEL RADIOAC- 
TIVE WASTE MANAGEMENT AU- 
THORITY, FEBRUARY 15 TO APRIL 
25. 1989, prepared by Ebasco Services, 
Inc.; 

1 : 24,000 scale United States Depart- 
ment of the Interior Geological Survey 
topographic maps of each of the 1 16 
potentially suitable site areas provided 
to the potential operator by Ebasco 
Services. Inc.; 

PRECHARACTERIZATION REPORT, 
RICHMOND COUNTY FAVORABLE 
SITE AREA, NORTH CAROLINA 
LOW-LEVEL RADIOACTIVE 
WASTE MANAGEMENT AUTHORI- 
TY, presented by Chem-Nuclear Sys- 
tems, Inc., February 21, 1990; 
PRECHARACTERIZATION REPORT, 
WAK.ECOUNTY/CHATHAMCOUN- 
TY FAVORABLE SITE AREA, 



NORTH CAROLINA LOW-LEVEL 
RADIOACTIVE WASTE MANAGE- 



MENT AUTHORITY, presented by 
Chem-Nuclear Systems, Inc., February 
21, 1990; 

EXECUTIVE SUMMARY, REPORTS 
OF PRECHARACTERIZATION 
FINDINGS FROM FAVORABLE 



LL 



13) 



SITE AREAS FOR NORTH 
CAROLINA'S LOW-LEVEL 
RADIOACTIVE WASTE DISPOSAL 
FACILITY, prepared by Chem-Nuclear 
Systems, Inc., February 21 , 1990; 
RESPONSES TO PUBLIC 
COMMENTS RELATED TO 
PRECHARACTERIZATION 
ASSESSMENTS OF RICHMOND 
COUNTY, WAKE/CHATHAM 
COUNTY, ROWAN COUNTY AND 
UNION COUNTY FAVORABLE SITE 
AREAS, prepared for the North 
Carolina Low-Level Radioactive Waste 
Management Authority by the Authority 
Staff, Chem-Nuclear Systems. Inc., and 
Ebasco Services, I nc . , April 1990; 
Information not otherwise listed in this 
Rule that js provided to the Executive 
Director by the Board of 
Commissioners of any county \_n which 
land has undergone characterization, so 
long as such information [s provided to 
the Executive Director not less than 30 
days before the Authority's scheduled 
preferred site selection meeting; 
An environmental impact report, 
prepared by the potential site operator 
in compliance with G.S. 104G-1 1(b), 
related to each potentially suitable 
characterized site; 

Written reports of the potential site 
operator on each potentially suitable 
characterized site, to include a Safety 
Analysis Report; 

Information obtained at public meetings 
conducted pursuant to 1 NCAC 37 
.0306(c), or jji written comments asso- 
ciated with such meetings, submitted by 
members of the public and received by 
the Authority not less than 30 days 
before the Authority's scheduled pre- 
ferred site selection meeting; and 
Other relevant and material evidence 
from credible sources received by the 
Authority not less than 30 days before 
the Authority's scheduled preferred site 
selection meeting and recorded [n the 
minutes of the preferred site selection 
meeting as evidence to be considered 
by the Authority, 
(g) Upon motion made and adopted jn open 
session, the Authority may hold an executive 
session to consider the merits of alternative candi- 



(14) 



15) 



16] 



dates for preferred site selection and acquisition. 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2394 



PROPOSED RULES 



Any \oting anions; alternative nominations, howev- 
er, must be conducted in open session. 

th) Discussion, nomination, and adoption of 
alternatives for preferred site selection. The 
AuthoritN emphasizes that [t has a statutory obliga- 
tion to select a preferred site from among alterna- 
tive sites that are both characterized and suitable. 
Ix therefore expresses its intent to arrive at a 
majority selection fro m among the voting alterna- 
tives at ks site selection meeting, and to continue 
deliberations at its site selection meeting, with only 
such temporary recesses as may be essential, until 
such a majority decision is achieved. 

( 1 ) Free discussion by the Authority mem- 
bers of the relative merits of the alter- 
natives may take place at the 
Authority's preferred-site selection 
meeting at any time, except when a 
vote is pending. Those alternatives 
shall include: 

(A) each characterized site: 

(B) neither characterized site; and 

(C) undecided. 
Discussion of all alternatives will con- 



Ql 



L22 



elude upon the Chairman's call for a 
vote on the alternatives, unless any 
member moves for continued discus- 
sion. Should such a motion be second- 
ed, it may be adopted without further 
discussion by a majority of Authority 
members who cast votes on the ques- 
tion, and discussion of the alternatives 
will then continue until such time as the 
Chairman again calls for a vote on the 
alternatives and no such motion for 
continued discussion is adopted. Alter- 
natively, any member may move to 
discontinue further discussion and to 
\ote on the alternatives, and such a 
motion, it" seconded, may be adopted by 
a majority of Authority members who 
cast votes on the question. 
Voting will be conducted on all alterna- 
tives at one time in roll-call format. 
Each member's name will be called, at 
which time that member will Note for 
one of the alternatives. In counting 
votes among the alternatives, absten- 



•4] 



tions. if any, shall count as "undecid- 
ed." 
Should no alternative other than "unde- 



cided" achieve a majority of Notes cast, 
discussion of the relative merits of the 
alternatives will resume and further 
\oting be conducted until an alternative 



other than "undecided" is selected by 
majority vote. Any alternative other 
than "undecided" receiving a majority 
of the votes cast at the preferred-site 
selection meeting shall constitute the 
Authority's action. 
(5) No site will be selected as the preferred 

site unless it receives the Notes of a 
majority of those Authority members 
casting votes. The Authority chairman 
shall Note in the same manner as any 
other member. 
(i) After the Authority's selection of a preferred 
site, it may delegate to hs contractors or staff the 
task of recommending the preferred site's precise 
boundaries in terms of a legal description. Precise 
boundaries may be drawn by reference to any of 
the criteria set out in I NCAC 37 .0200 and, in 
addition, to previously existing property bound- 
aries. Recommendations for precise preferred-site 
boundaries shall be submitted to the Authority for 
formal approval. In addition, the Authority may 
direct its staff or contractors to submit recom- 
mended precise boundaries for any initial license 
area and characterized, suitable land beyond the 
initial license area that it may wish to designate. 

(j) At no time after the Authority's announce- 
ment of the date of the meeting at which it \y ill 
deliberate and vote on the selection of its preferred 
site will any member knowingly participate in the 
Authority's selection of its preferred site, as such 
participation is defined in Rule .0102(h) of this 
Chapter, if that member, or any person in the 
member's immediate family: 

( I j has a pecuniary interest in any poten- 
tially suitable site under active consider- 
ation for such selection: 
(2 > would receive a reasonably foreseeable 
significant pecuniary benefit from one 
of the alternative outcomes that would 
not accrue generally to persons similar; 
\y_ situated, such as employees of com- 
parable employers or persons of the 
same or similar profession or occupa- 
tion: or 
(3) js an employee of a business entity that 
would receive a reasonably foreseeable 
significant business advantage from one 
of the alternative outcomes that would 
not accrue generally to commercial 
entities in the same or similar business 
as the member's employer, 
(k) Any member of the Authority who desires to 
be excused from participating i_n the selection of a 
preferred site on grounds of a conflict of interest 



2395 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



will declare his desire to be excused and reason for 
excusal in writing. Any such written declarations 
will be submitted to the Executive Director prior 
to the beginning of the meeting convened for the 
purpose of formal site selection pursuant to 
Paragraph (h) of this Rule, will be effective if 
accepted by a majority vote of the Authority, and 
will be attached to the minutes of the Authority's 
preferred-site selection meeting. Any member 
excused from participating under this provision 
shall be counted as present for purposes of 
constituting a quorum within the meaning of G.S. 
104G-5(f). 

Statutory Authority G.S. 104G-4; 104G-6; 104G-9; 
104G-ll(b); 104G-19; 143-318.11. 






% ;-e % % ^c :fc 



.0101 PURPOSE 

The purpose of these minimum criteria is to 
establish criteria levels for minor operations or 
small routine facility projects below which no 
filing of environmental documents under G.S. 
1 13A shall be required. The primary emphases of 
these minimum criteria are to: 

(1) insure that adequate protection is 
provided to the environment in the State 
Government Center and at other 
properties under the control of the 
Department of Administration throughout 
the state; and 

(2) permit the implementation of the routine 
operations, maintenance, repair, or 
construction tasks which the state is 
required to undertake without undue 
delay or expense. 



I\otice is hereby given in accordance with G.S. 
150B-21.2 that the Department of Administration 
intends to adopt rules cited as 1 NCAC 39 .0101 , 
.0201, .0301. 

1 he proposed effective date of this action is May 
3. 1993. 

1 he public hearing will be conducted at 10:00 
a.m. on February 23. 1993 at the Administration 
Building, Commission Room 5034, 1 16 West Jones 
Street, Raleigh, NC 27603-8003. 

Keason for Proposed Action: To allow the 
Department of Administration to regulate excep- 
tions to the Environmental Policy Act pursuant to 
G.S. 113A-11. 

Ksomment Procedures: Any interested person may 
present his/her comments either in writing at the 
hearing or orally at the hearing. Any person may 
request information, permission to be heard, or 
copies of the proposed regulations by writing or 
calling David McCoy, Department of Administra- 
tion, 116 West Jones Street, Raleigh, NC 
27603-8003. 

CHAPTER 39 - DEPARTMENT OF 

ADMINISTRATION'S MINIMUM 

CRITERIA 

SECTION .0100 - PURPOSE 



Statutory Authority G.S. 113A-11. 

SECTION .0200 - NON-MAJOR ACTIVITIES 

.0201 NON-MAJOR ACTIVITIES 

The following list of criteria shall be considered 
as descriptive of routine operations, small 
construction projects, and routine maintenance 
projects which do not require the filing of an 
Environmental Impact Statement, Environmental 
Assessment, or a Finding of No Significant 
Impact: 

Any single action which involves 



01 



L^J 



Lh 



14) 



relocation of staff members into a site 
using existing State buildings or leased 
buildings for which the building 
occupancy classification is not changed. 
Routine disposal operations of hazardous 
chemicals, asbestos, or other 
environmentally sensitive operations for 
which a written procedure has been 
established, reviewed by appropriate 
authority, and determined to be in 
keeping with state or federal law. 
Routine repairs and housekeeping 
projects which maintain a facility's 
original condition and physical features, 
including re -roofing and minor alterations 
where in-kind materials and techniques 
are used. This also encompasses 
structures 50 years of age and older and 
for which no separate law, rule, or 
regulation dictates a formal review and 
approval process. 

Demolition of or additions, rehabilitation 
and/or renovations to a structure not 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2396 



PROPOSED RULES 



(5) 



(6) The use 



LZJ 



i8j 



ib] 



<Al 



(9) 



11) 



(13) 



(a) 



listed in the National Register of Historic 
Places or less than 50 years of age. 
Purchase by the Department of 
Administration using Department of 
Administration's sponsored funding of 
real estate for which the use of the real 
estate does not van,' from its intended 
purpose or function at the time of 
purchase. 

The use of chemicals for boiler feedwater 
treatment, cooling tower water treatment, 
pesticides, herbicides, cleaning solvents, 
and other chemical products which may 
be considered environmentally sensitive, 
provided the materials are stored and 
utilized in keeping with the applicable 
Material Safety Data Sheet (MSDS). 
The handling of asbestos incident to a 
repair. maintenance, or minor 
construction project provided that the 
asbestos material is removed, stored, 
disposed of, and handled in accordance 
with published Department of 
Administration's procedures for 
processing asbestos. 

New construction involving all of the 
following: 
Less than 10,000 square feet; 
Less than two hundred thousand dollars 
($200,000) cost; 

Less than one acre of previously 
undisturbed ground unless the site is a 
National Register archaeological site: 
and 

The use of the structure does not 
involve the handling and/or the 
storage of hazardous materials. 



Routine grounds maintenance and 
landscaping. 

Routine paving or repair of existing 
parking lots shall fall within the 
minimum criteria. 

Installation of outdoor sculpture(s) or 
exhibits. 

Acquisition or enlargement of a 
state-owned historic site or museum to be 
managed in accordance with plans for 
which environmental documents have 
been approved. 

Granting of leases, easements, or permits 

authorizing private use of public land for 

any of the following: 

Installation of aerial and sub-aqueous 

pipes or pipelines for the transportation 

of potable water, and any cable line or 



ihi 



icj 



id] 



L^ 



LU 



line for the transmission of electrical 
energy, telephone or telegraph 
messages, and radio and television 
communications. 

Communication towers not located on 
wetlands, park lands, or areas of 
recognized natural, scenic, recreation, 
archaeological, or historic value. 
Construction of a road in accordance 
with accepted design practices and jn 
compliance with North Carolina 
Department of Transportation standards 
and specifications, involving less than 
25 cumulative acres of ground surface. 
Filling below the mean high water mark 
when such filling has been approved by 
the U.S. Army Corps of Engineers or 
the North Carolina Division of Coastal 
Management. 

Sewer line installations with less than 
three miles of new lines and a design 
volume not exceeding 1 ,000,000 
gallons per day or individual pump 
stations not exceeding 1 ,000,000 
gallons per day. 

Ground water withdrawals of less than 

1,000.000 gallons per day where such 

withdrawals are not expected to cause a 

significant alteration in the established 

land use patterns, or degradation of 

ground water or surface water quality. 

Where the proposed private use of the 

public land does not exceed the 

minimum criteria established by the 

agency recommending the lease. 

easement, or permit. 

Exchange or purchase of land where no 

agreement exists for the private land to 

be developed for use in any way that 

results jn a change in the natural cover or 

topography prior to the exchange or 

purchase. 

Timber harvest in accordance with the 
National Forest Service or the North 
Carolina Division of Forest Resources 
Management's Plans. 



Statutory Authority G.S. 1 13A-11. 

SECTION .0300 - EXCEPTIONS 

.0301 EXCEPTIONS TO MINIMUM 
CRITERIA 

The Secretary of the Department of 
Administration may determine that environmental 



(g) 



(14) 



15) 



2397 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



documents under the North Carolina 

Environmental Policy Act are required m any case 

where one of the following findings applies to a 

proposed activity: 

(1) The proposed activity may have a 

potential for significant adverse effects on 

wetlands, park lands, prime or unique 

agricultural lands, or areas of recognized 

natural . scenic, recreational , 

archaeological, or historical value 

including indirect effects, or would 

threaten a habitat identified on the U.S. 



m. 



m 



14) 



Department of Interior or state of North 
Carolina threatened and endangered 
species lists. 

The proposed activity could cause 
significant changes in industrial, 
commercial, residential, agricultural, or 
silvicultural land use concentrations or 
distributions which would be expected to 
create adverse water quality, air quality, 
or ground water impacts, or affect 
long-term recreational benefits, shellfish, 
wildlife, or their natural habitats. 
The proposed activity has indirect im- 
pacts, or js part of cumulative effects . not 
generally covered in the approval process 
for the state action, and that may result in 
a potential risk to human health or the 
environment. 

The proposed activity js of such an un- 
usual nature or has such widespread 
implications that an uncommon concern 
for its environmental effects has been 
expressed to the agency. 

Statutory- Authority- G.S. 113A-11. 

TITLE 4 - DEPARTMENT OF 
COMMERCE 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Cemetery 
Commission intends to amend rules cited as 4 
NCAC5A .0101. .0106; 5B .0101 - .0103. .0105; 
5 C .0101, .0103, .0201. .0301, .0303; 5D .0101, 
.0201 - .0203; adopt rule cited as 4 NCAC 5D 
. 0107; and repeal rule cited as 4 NCA C 5D . 0204. 

1 he proposed effective date of this action is May 
3. 1993. 

1 he public hearing will be conducted at 10:00 



a.m. on March 10, 1993 at 1100 Navaho Drive, 
Suite 300, Raleigh, N.C. 

IVeason for Proposed Action: The proposed rules 
change the Commission 's address, bring certain 
rules into compliance with the General Statutes, 
require buyer and seller representatives to be 
present at meeting, provide for excess care and 
maintenance trust funds, require accountant to list 
merchandise stored at cemetery, and consolidate a 
trust fund regulation. 

Ksomment Procedures: Written comments may be 
sent to the Cemetery Commission, 1100 Navaho 
Drive, GL-2, Raleigh, NC 27609. Requests for 
opportunity to present oral testimony and a sum- 
mary of the testimony must be received at this 
address by March 1. 1993. 

CHAPTER 5 - CEMETERY COMMISSION 

SUBCHAPTER 5A - ORGANIZATION 

SECTION .0100 - GENERAL 
INFORMATION 

.0101 NAME AND ADDRESS 

The North Carolina Cemetery Commission of the 
Department of Commerce is located in Raleigh, 
North Carolina. The mailing address for the 
Cemetery Commission is Post Office Box 252 4 9, 
1100 Navaho Drive, GL-2, Raleigh, North Caroli- 
na 2761 1 27609 . The office is open to the public 
Monday through Friday. 8:00 a.m. to 5:00 p.m., 
excluding scheduled state holidays. 

Statutory Authority G.S. 65-49; 65-51; 150B-10. 

.0106 FEES 

In addition to the licensing and penalty fees 
provided by statute to this commission, the follow- 
ing fees are provided after October 5, 1987 May 
3. 1993: 

(1) One dollar ($1.00) per grave space, 
mausoleum crypt, and niche when deed- 
ed; 

(2) Four dollars ($4.00) per vault when 
contracted; 

(3) Four dollars ($4.00) per each crypt in a 
bank of below ground crypts or lawn 
crypt garden when contracted before 
completion or one dollar ($1 .00) per each 
crypt when contracted after completion. 



7:27 



NORTH CAROLINA REGISTER 



February 1, 1993 



2398 



PROPOSED RULES 



An additional one dollar ($1.00) shall be 
paid for each crypt when deeded as pro- 
vided in Item 1 of this Rule; 

(4) Four dollars ($4.00) per pre-need memo- 
rial; 

(5) Four dollars ($4.00) per pre-constructed 
mausoleum crypt or niche when contract- 
ed before completion or one dollar 
($1.00) per crypt or niche when 
contracted after completion. An 
additional one dollar ($1 .00) shall be paid 
for each crypt or niche when deeded as 
provided in Item 1 of this Rule; 

(6) All at need merchandise, cash or credit 
sales, do not require any assessmentST • 

(7) One dollar ($1.00) per preneed opening 
and closing of a grave space. 

Statutory Authority G.S. 65-49; 65-54; 150B-10. 

SUBCHAPTER 5B - RULE-MAKING: 

DECLARATORY RULINGS AND 

CONTESTED CASES 

SECTION .0100 - RULE-MAKING AND 
DECLARATORY RULINGS 

.0101 PETITIONS 

(a) Any person wishing to submit a petition 
requesting the adoption, amendment, or repeal of 
a rule by the Cemetery Commission shall address 
a petition to: 

North Carolina Cemetery Commission 

Post Office Box 25219 

U00 Navaho Drive, GL-2, 

Raleigh, North Carolina 276 ll 27609 . 

(b) The petition should contain the following 
information: 

(1) a draft of the proposed rule or a 
summary of its contents; 

(2) reason for proposal; 

(3) effect on existing rules or orders; 

(4) data supporting the proposal; 

(5) names of those most likely to be 
affected by the proposed rule, with 
addresses if reasonably known; 

(6) name(s) and address(es) of petitioner(s); 

(7) a description as to how the petitioner(s) 
is (are) directly or substantially affected 
by the proposed rule. 

(c) The Cemetery Commission will determine, 
based on a study of the facts stated in the petition, 
whether the public interest will be served by 
granting the petition. They will consider all the 
contents of the submitted petition, plus any 



additional information they deem relevant. 

(d) Within 30 days of receipt of the petition, the 
Cemetery Commission will render a final decision. 
If the decision is to deny the petition, the 
Commission will notify the petitioner in writing, 
stating the reason therefor. If the decision is to 
grant the petition, the Commission, within 30 days 
of submission will initiate a rule-making 
proceeding by issuing a rule-making notice as 
provided in the rules. 

Statutory Authority G.S. 65-49; 150B-16. 

.0102 NOTICE 

(a) Upon a determination to hold a rule-making 
proceeding, either in response to a petition or 
otherwise, the Commission will publish a notice in 
The North Carolina Register of a public hearing 
on the proposed rule at least 30 days in advance of 
said hearing and will mail a copy of the notice to 
everyone on its mailing list. 

(b) Any person or agency desiring to be placed 
on the mailing list for Cemetery Commission 
rule-making notices may file a request, in writing, 
furnishing names and mailing addresses to: 

North Carolina Cemetery Commission 

Post Offic e Box 252 4 9 

HOP Navaho Drive, GL-2, 

Raleigh, North Carolina 2-7644 27609 . 

(c) In addition to notices sent to persons 
requesting them, notice of the rule-making 
proceedings will usually be sent to the North 
Carolina Cemetery Association and to all 
state-licensed cemeteries. 

Statutory Authority G.S. 65-49; 150B-12. 

.0103 HEARINGS 

(a) Unless otherwise stated in the particular 
rule-making notice, hearings before the North 
Carolina Cemetery Commission will be held at the 
offices of the North Carolina Department of 
Commerce in Raleigh, North Carolina. 

(b) Any person desiring to present oral data, 
views, or arguments on the proposed rule must, at 
least 10 days before the hearing, file a notice with: 

North Carolina Cemetery Commission 

Post Office Box 252 4 9 

1100 Navaho Drive. GL-2, 

Raleigh, North Carolina 2-7644 27609 . 

Notice of this presentation may be waived or a 

failure to give notice may be excused, by the 

Commission, for good cause. Any person 

permitted to make an oral presentation is 

encouraged to submit a written copy of the 



2399 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



presentation to the administrator prior to or at the 
hearing. 

(c) A request to make an oral presentation must 
contain a brief summary of the individual's views 
with respect thereto, and a statement of the length 
of time the individual wants to speak. 
Presentations may not exceed 15 minutes unless, 
upon request, either before or at the hearing, the 
Cemetery Commission grants an extension of time, 
for good cause. 

(d) Upon receipt of a request to make an oral 
presentation, the Administrator of the Cemetery 
Commission will acknowledge receipt of the 
request, and inform the requesting person of the 
imposition of any limitations deemed necessary to 
the end that a full and effective public hearing on 
the proposed rule may be held. 

(e) Any person may file a written submission 
containing data, comments, or arguments, after 
publication of a rule-making notice, up to and 
including, the day of the hearing. Written 
submissions, except when otherwise stated in the 
particular rule-making notice must be sent to: 

North Carolina Cemetery Commission 

Post Offic e Box 252 4 9 

1100 Navaho Drive, GL-2, 

Raleigh, North Carolina 37444 27609 . 

Such submission must clearly state the rule(s) or 

proposed rule(s) to which the comments are 

addressed. 

(f) Upon receipt of such written comments, 
prompt acknowledgement will be made including 
a statement that the comments therein will be 
considered fully by the Cemetery Commission. 

(g) The chairman of the commission, or his 
designate, shall have complete control of the 
hearing proceedings, including: extension of any 
time requirements, recognition of speakers, time 
allotments for presentation, direction of the flow of 
the discussion, and the time management of the 
hearing. The chairman, or his designate, at all 
times, shall take care that each person participating 
in the hearing is given a fair opportunity to present 
views, data and comments. 

(h) Any interested person desiring a statement of 
the principal reason(s) for and against the adoption 
of a rule by the Cemetery Commission and the 
factors that led to the overruling of the 
consideration urged for or against its adoption may 
submit a request addressed to: 

North Carolina Cemetery Commission 

Po s t Offic e Box 252 4 9 

1100 Navaho Drive, GL-2, 

Raleigh, North Carolina 37444 27609 . 

(i) A record of all rule-making proceedings will 



be maintained in the Cemetery Commission office 
for as long as the rule is in effect, and for two 
years thereafter, following filing of the rule with 
the Office of Administrative Hearings. This 
record will contain: the original petition, if the 
hearing is in response to a petition; the notice; all 
written memoranda and information submitted; a 
record or summary of oral presentation, if any; 
and the statement explaining the agency ruling, if 
made. 

Statutory Authority G.S. 65-49; 150B-13. 

.0105 DECLARATORY RULINGS 

(a) Any person substantially affected by a statute 
administered or rule promulgated by the Cemetery 
Commission may request a declaratory ruling as 
to: 

( 1 ) whether, and if so how, the statute or 
rule applies to a given factual situation. 
or 

(2) whether a particular agency rule is 
valid. 

(b) The Cemetery Commission will have the 
sole power to make such declaratory rulings. All 
requests for declaratory rulings shall be written 
and mailed to: 

North Carolina Cemetery Commission 

Post Offic e Box 252 4 9 

1100 Navaho Drive, GL-2, 

Raleigh, North Carolina 27444 27609 . 

(c) All requests for a declaratory ruling must 
include the following information: 

(1) name and address of petitioner; 

(2) statute or rule to which petition relates; 

(3) concise statement of the manner in 
which petitioner is aggrieved by the 
rule or statute or its potential 
application to him; 

(4) a statement of whether an oral hearing 
is desired, and if so the reasons for 
such an oral hearing. 

(d) Whenever the Cemetery Commission 
believes for good cause that the issuance of a 
declaratory ruling is undesirable, it may refuse to 
do so. When good cause for refusing to issue a 
declaratory ruling is deemed to exist, the Cemetery 
Commission will notify the petitioner of its 
decision in writing, stating reasons for the denial 
of a declaratory ruling. 

(e) Where a declaratory ruling is deemed 
appropriate, the Cemetery Commission will issue 
the ruling within 60 days of receipt of the petition. 

(f) A declaratory ruling procedure may consist 
of written submissions, oral hearings, or such 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2400 



PROPOSED RULES 



other procedures as may be appropriate in a 
particular case. 

Statutory Authority G.S. 65-49; 1 SOB- 17. 

SUBCHAPTER 5C - LICENSING 

SECTION .0100 - CEMETERIES 

.0101 APPLICATION AND FILING FEE 

Any legal entity wishing to establish and operate 
a cemetery company, as defined in (i.S. 65-48(5) 
must first obtain a license from this commission. 
The legal entity shall file written application with 
the commission on the Commission's Application 
for Certificate of Authority. This form provides a 
space for the name of the corporation and 
cemetery, the names of directors and officers of 
the corporation, the mailing address of the 
corporation and the address of the cemetery. A 
filing fee of four hundr e d dollar s ($ 4 00.00) eight 
hundred dollars ($800.00) must accompany the 
application. The application form is available by 
contacting: 

North Carolina Cemetery Commission 

Pout Offic e Box 252 4 9 

1100 Navaho Drive. C.L-2, 

Raleigh, North Carolina 2-7644 27609. 

Statutory Authority G.S. 65-48(5); 65-55. 

.0103 CHANGE OF CONTROL 

(a) Any entity wishing to purchase or acquire 
control of an existing cemetery company shall first 
make written application to the Cemetery 
Commission on the Commission's Application for 
Change of Control. This form provides space for 
the name and address of the present and proposed 
owner, along with the name of the corporation and 
the name of the cemetery. This form can be 
obtained by writing: 

North Carolina Cemetery Commission 

Post Offic e Box 252 4 9 

1 100 Navaho Drive. GL-2. 

Raleigh. North Carolina 23644 27609. 

(b) This form must be accompanied by a eee 
hundr e d dollar ($100.00) two hundred dollar 
($200.00) filing fee. The Commission also 
requires the following: 

( I ) an examination be made to establish 

compliance to trust fund requirements: 

(2) a signed certificate assuming liabilities 
of the existing cemetery company; 

(3) a financial statement of the existing 
cemetery company showing net worth; 



(4) certification by title insurance policy or 
by certificate of an attorney-at-law that 
the cemetery land, subject to 
appropriate acreage requirements, is 
owned in fee simple, free of all 
encumbrances; 

(5) a financial statement of proposed 
owner, showing net worth and a 
statement of the proposed owner's 
experience in the cemetery business. 

(c) No one shall take over the operation of a 
cemetery company in anticipation of a change of 
control until all necessary information concerning 
that change of control has been submitted to the 
administrator of the Cemetery Commission. No 
one shall change control of a cemetery company 
without first obtaining approval of the Cemetery 
Commission. Once a change of control has been 
approved by the Cemetery Commission, the 
change of control must be completed within 90 
days of the date of the Cemetery Commission's 
approval. If the change of control is not 
completed within 90 days of the date of the 
Cemetery Commission's approval, then the entity 
wishing to effect the change of control will be 
required to make a new application to the 
Cemetery Commission in accordance with 
provisions of this Rule. Upon completion of the 
change of control, the entity requesting the change 
of control shall notify in writing the Administrator 
of the Cemetery Commission of the completion. 
A representative of the buyer and the seller should 
be present at any meeting when the Commission h 
going to consider the change of control 
application. 

Statutory Authority G.S. 65-49; 65-53(2); 65-59. 

SECTION .0200 - CEMETERY SALES 
ORGANIZATIONS: MANAGEMENT 
ORGANIZATIONS AND BROKERS 

.0201 APPLICATION AND FILING FEE 

(a) Any legal entity wishing to establish and 
operate a cemetery sales organization, cemetery 
management organization or a cemetery broker, as 
each are defined under G. S. 65-48, must first 
obtain a license from this commission. The legal 
entity shall file written application with the 
commission on the Commission's Application for 
Cemetery Broker. Sales and/or Management 
Contractor License. This form provides space for 
applicant's name and address; space is also 
provided for employment, references and criminal 
record for an individual, corporate officer or 



2401 



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February L 1993 



PROPOSED RULES 



partner, as the case may be. The application form 
is available by contacting: 

North Carolina Cemetery Commission 

Post Offic e Box 25249 

1100 Navaho Drive, GL-2, 

Raleigh, North Carolina 27444 27609 . 

(b) The following documents should accompany 
this application: 

(1) If individual, officer or partner has not 
been licensed as a cemetery salesman 
for a period of two years, the 
application is to be accompanied by a 
written request for waiver setting forth 
at least one year general cemetery 
experience. 

(2) Corporate applications are to be 
accompanied by: 

(A) certified copy of that portion of the 
minutes of the corporation wherein 
the officer named on the application 
was elected an officer, 

(B) certified copy of that portion of the 
minutes of the corporation wherein 
the officer named on the application 
was authorized to file the application 
on behalf of the corporation. 

(3) All brokerage, sales or management 
contracts are subject to approval by the 
board and any proposed contracts 
should accompany this application. 

(c) Filing fees would be in accordance with G. 
S. 69-57(c). 

Statutory Authority G.S. 65-49; 69-57. 

SECTION .0300 - INDIVIDUAL PRE-NEED 
SALESPEOPLE 

.0301 APPLICATION AND FILING FEE 

Any person who offers to sell pre-need grave 
spaces, mausoleum crypts, niches, memorials, 
vaults or any other pre-need cemetery merchandise 
or services that are authorized for any cemetery, 
cemetery sales groups or cemetery management 
groups must first obtain a license from this 
commission. Applications for a license must be 
filed with the Commission on their Application for 
Persons Selling Pre-need Cemetery Property 
together with a fee in the amount of twenty-five 
dollars ($25.00), fifteen dollars ($15.00) of which 
shall constitute an application fee and ten dollars 
($10.00) of which shall constitute annual license 
fee. The form provides space for applicant's 
name, past address, previous employment and 
criminal record. The application form is available 



by contacting: 

North Carolina Cemetery Commission 

Poot Office Box 25249 

1 100 Navaho Drive, GL-2, 

Raleigh, North Carolina 27611 27609 . 

This license has an expiration date of June 30 in 

each year. 

Statutory Authority G.S. 65-49; 65-58. 

.0303 DISPLAY 

Each salesperson licensed by the Commission is 
required to display his or her license in the office 
of each cemetery he or she represents. If extra 
copies are needed, a fee of one dollar and fifty 
cents ($1.50) will be charged for each duplicate 
license. Duplicate copies can be obtained by 
contacting: 

North Carolina Cemetery Commission 

Poot Office Box 25219 

HOP Navaho Drive, GL-2, 

Raleigh, North Carolina 276 ll 27609 . 

Statutory Authority G.S. 65-49; 65-58. 

SUBCHAPTER 5D - TRUST FUNDS 

SECTION .0100 - MAINTENANCE AND 
CARE FUNDS (PERPETUAL CARE FUNDS) 

.0101 REPORT 

The Commission requires a report of deposits to 
the perpetual care fund to be completed and mailed 
to its office in Raleigh by the last day of each 
month. The form to be used is the Report of 

Grave Spaces for the Month of . 

The form provides a space for deed number, date 
of deed, date of contract, purchaser, lot number, 
section, number of spaces deeded and amount due 
trust fund. This form can be obtained and must be 
returned to: 

North Carolina Cemetery Commission 

Post Offic e Box 252 4 9 

I 100 Navaho Drive, GL-2. 

Raleigh, North Carolina 2-7414 27609 . 

Statutory Authority' G.S. 65-49. 

.0107 EXCESS FUNDS 

It" a cemetery collects Care and Maintenance 
Trust Funds in excess of the mandatory trust fund 
amount, the excess must be deposited into the trust 
fund by the last day of the following month. 
Excess funds may not be withdrawn from the trust 
fund or used to offset past or future deposits. 



7:21 



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February 1, 1993 



2402 



PROPOSED RULES 



Statutory Authority G.S. 65-49; 65-64. 

SECTION .0200 - PRE-NEED CEMETERY 

MERCHANDISE: PRE-CONSTRUCTED 

MAUSOLEUMS AND BELOW GROUND 

CRYPTS TRUST FUNDS 

.0201 REPORT 

The Commission requires a report of deposits to 
the pre-need cemetery merchandise and 
pie-constructed mausoleum and below ground 
crypt trust fund to be completed and mailed to its 
office in Raleigh by the last day of each month. 
The form to be used is the "Monthly Report and 
Deposit Record for Pre-need Cemetery 
Merchandise, Pre-Constructed Mausoleums and 
Services Not Delivered." This form provides 
space for trustee's name, fund account number and 
the name of the savings institution used. It also 
provides space for the name of the purchaser, date 
of the contract, number of the contract, the full 
sales price, the total amount required, the amount 
deposited, and the total amount deposited to date. 
Copies of this form can be obtained from and must 
be returned to: 

North Carolina Cemetery Commission 

Pest Office Box 25219 

1 1 00 Navaho Drive, GL-2, 

Raleigh, North Carolina 2-7644 27609 . 

Statutory Authority G.S. 65-49. 

.0202 DELIVERY 

(a) Vaults and crypts shall not be considered 
delivered unless installed or stored on the cemetery 
premises or stored off premises by a supplier. If 
vaults are not to be installed, contract must so state 
in bold print that purchaser has accepted above 
ground delivery. If vault is to be installed, then 
the contract must be broken down into sales cost 
and installation cost. 

(b) Markers, bases and vases shall not be 
considered delivered unless installed or stored at 
the cemetery or if stored off premises by a 
supplier, there shall be no additional charge for 
delivery or freight, unless specified in bold print in 
the contract. If vaults, crypts or other 
merchandise are stored off premises the cemetery 
company must submit to the Cemetery 
Commission not less than annually a report by a 
certified public accountant of each item which has 
been purchased through a North Carolina cemetery 
company and which at the date of the report was 
then in storage and properly designated the 
property of the cemetery company's customer and 



not the property of the supplier. If vaults, crypts 
or other merchandise are stored at the cemetery 
the cemetery company must submit to the 
Cemetery Commission not less than annually a 
report by a certified or licensed public accountant 
of each item which has been purchased and which 
at the date of the report was then in storage and 
properly designated the property of the cemetery 
company's customer. 

(c) If opening and closing of crypts at the time 
of interment are not included in the cost of this 
merchandise, then it must be so stated in bold print 
on the contract. 

Statutory Authority G.S. 65-49. 

.0203 TRUST ACCOUNTS 

(a) Trust accounts must be established pursuant 
to an agreement with a financial institution that 
withdrawals may be made only with the signature 
of both the cemetery company's designee and the 
North Carolina Cemetery Commission's authorized 
designee. Trust accounts must be clearly 
designated as trust accounts. For the purposes of 
withdrawal, the Administrator of the North 
Carolina Cemetery Commission shall be the 
Cemetery Commission's authorized designee. 

(b) These trust accounts are not joint accounts, 
however, they are restricted accounts that require 
the Commission's authorized designee to sign 
before any withdrawal is made. 

(c) The cemetery company must file a statement 
with the North Carolina Cemetery Commission 
setting out the name and the position or title of 
anyone who is authorized to sign for withdrawals 
from the account for the cemetery company. 

(d) These withdrawals can be made no more 
frequent than once a month. The cemetery 
company must give the North Carolina Cemetery 
Commission 20 days written notice of any 
proposed withdrawal, stating the amount to be 
withdrawn and the justification for withdrawal. 

(e) Full disclosure of the amount in the trust 
account must be made available to the North 
Carolina Cemetery Commission by the financial 
institution any time during the financial 
institution's normal business hours. A copy of 
each cemetery company's pre-need contract must 
be on file with the Commission before any 
withdrawals can be authorized. 

(f) Interest earned on trust accounts may he used 
to offset future deposits or may be withdrawn with 
the written approval of the Administrator. 

Statutory Authority G.S. 65-49; 65-66(h)<4). 



2403 



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February 1, 1993 



PROPOSED RULES 



.0204 EXCESS FUNDS 

(a) If mon e y is escrowed into a trust account for 
contracts for pr e need merchandise and s e rvic e s, 
excess inter e st may b e withdrawn quart e rly so long 
as th e amount on deposit for each contract e qual s 
at least 60% of the proceeds r e c e iv e d on account 
of contracts for the sal e of such m e rchandi s e or 
125% — of the current wholesale cost — of s uch 
merchandise as determin e d by the Commission, 
which e ver is great e r. 

(b) The current wholesal e cost as determined by 
the commission shall b e th e high e st whol es ale co s t 
for each cat e gory of such merchandis e charged in 
North Carolina by a v e ndor of s uch m e rchandis e 
who se — sal e s — te — c e m e t e ri e s — m — North — Carolina 
exce e d e d 200 units of such merchandi se during the 
preceding y e ar. 

Statutory Authority G.S. 65-49. 



TITLE 10 - DEPARTMENT OF 
HUMAN RESOURCES 

IS otice is hereby given in accordance with G.S. 
150B-21.2 that the Medical Care Commission 
(Division of Facility Services) intends to adopt 
rules cited as 10 NCAC 3C .2020 - .2033; 10 
NCAC 3H .1150 - .1163; amend 10 NCAC 3H 
.0219, 1204; 10 NCAC 3L .0903, .1110 and 
. 1202. 

1 he proposed effective date of this action is May 
3. 1993. 

1 he public hearing will be conducted at 9:30 
a.m. on March 12, 1993 at the Council Building, 
Room 201, 701 Barbour Drive, Raleigh, NC, 
27603. 

MXeason for Proposed Action: 
10 NCAC 3C .2020-.2033; 10 NCAC 3H .1150- 
.1163 - To establish rules for inpatient rehabilita- 
tion beds operated by acute care hospitals and 
nursing facilities. 

10 NCAC 3H .0219 - To enable the Department's 
authorized agents to photocopy pertinent records in 
a licensed nursing facility where the information is 
necessary to document non-compliance. 
10 NCAC 3H .1204 - To bring the rule into 
conformance with federal rules, regulations and 
guidelines and to clarify components of the rule. 
10 NCAC 3L .0903, .1110 and .1202 - To make 



rule . 1202 consistent with other rules governing 
expiration of license, to make technical change in 
rule .0903. and to clarify program requirement in 
.1110. 

i^omment Procedures: Written conmients should 
be submitted to Jackie Sheppard, 701 Barbour 
Drive, Raleigh, North Carolina 27603 by March 3, 
1993. 

CHAPTER 3 - FACILITY SERVICES 

SUBCHAPTER 3C - LICENSING 
OF HOSPITALS 

SECTION .2000 - SPECIALIZED 

REHABILITATIVE AND HABILITATIVE 

SERVICES 

.2020 DEFINITIONS 

The following definitions shall apply to inpatient 
rehabilitation facilities or units only: 

(1) "Case management" means the coordina- 
tion of services, for a given patient, 
between disciplines so that the patient 
may reach optional rehabilitation through 
the judicious use of resources. 

(2) "Comprehensive inpatient rehabilitation 
program" means a program for the treat- 
ment of persons with functional limita- 
tions or chronic disabling conditions who 
have the potential to achieve a significant 
improvement in activities of daily living. 
A comprehensive rehabilitation program 
utilizes a coordinated and integrated, 
interdisciplinary approach, directed by a 
physician, to assess patient needs and to 
provide treatment and evaluation of phys- 
ical, psycho social and cognitive deficits. 

(3) "Inpatient rehabilitation facility or unit" 
means a free-standing facility or a unit 
(unit pertains to contiguous dedicated 
beds and spaces) within an existing H; 
censed health service facility approved in 
accordance with G.S. 131 E, Article 9 to 
establish inpatient, rehabilitation beds and 
to provide a comprehensive, inpatient 
rehabilitation program. 

(4) "Medical consultations" means consulta- 
tions which the rehabilitation physician or 
the attending physician determine are 
necessary to meet the acute medical 
needs of the patient and do not include 
routine medical needs. 



7:21 



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February 1, 1993 



2404 



PROPOSED RULES 



(5) "Occupational therapist" means any 
individual licensed in the State of North 
Carolina in accordance with the provi- 
sions of G.S. 90, Article 18D. 



£61 

01 



£J 



(10) 



Oil 



L121 



03} 



(14) 



U5j 



06) 



"Occupational therapist assistant" means 
any individual licensed in the State of 
North Carolina in accordance with the 
provisions of G.S. 90, Article 18D. 
"Psychologist" means a person licensed 
as a practicing psychologist in accordance 
with OS. 90, Article ISA. 



"Physiatrist" means a licensed physician 
who has completed a physical medicine 
and rehabilitation residency training 
program approved by the Accrediting 
Council of Graduate Medical Education 
or the American Osteopathic Association. 
"Physical therapist" means any person 
licensed in the State of North Carolina in 
accordance with the provisions of G.S. 
9JX Article 18B. 

"Physical therapist assistant" means any 
person duly licensed in the State of North 
Carolina in accordance with the provi- 
sions of G.S. 90-270.24, Article 18B. 
"Recreational therapist" means a person 
certified by the North Carolina State 
Board of Therapeutic Recreation. 
"Rehabilitation nurse" means a registered 
nurse licensed |n North Carolina, with 
specialized training and at least one year 
experience in physical rehabilitation 
nursing 

"Rehabilitation nurse aide" is a nurse 
aide listed on the North Carolina Nurse 
Aide Registry', who also has therapy 
training and works under the supervision 
and direction of a licensed physical thera- 
pist in accordance with the provisions of 
G.S. 90, Article I8B. 
"Rehabilitation physician" means a phys- 
iatrist or a physician who specializes |n 
neurology, physical medicine, or ortho- 
paedics and has at least two years experi- 
ence in physical rehabilitation care. 
"Social worker" means a person certified 
by the North Carolina Certification Board 
for Social Work in accordance with G.S. 
90 B- 3. 

"Speech and language pathologist" means 
any person licensed in the State of North 
Carolina in accordance with the provi- 
sions of G.S. 90-292, Article 22. 



Statutory Authority G.S. 131E-79; 143B-165. 



.2021 PHYSICIAN REQUIREMENTS/ 
INPATIENT REHABILITATION 
FACILITIES OR UNITS 

(aj In a rehabilitation facility or unit a physician 
shall participate in the provision and management 
of rehabilitation services and in the provision of 
medical services. 

(b) In a rehabilitation facility or unit a rehabili- 
tation physician shall be responsible for a patient's 
interdisciplinary treatment plan. Each patient's 
interdisciplinary treatment plan shall be developed 
and implemented under the supervision of a reha- 
bilitation physician. 

(c) The intensity of a comprehensive rehabilita- 
tion program requires that there shall be direct 
patient contact by a physician daily while full 
interdisciplinary therapy services are being provid- 
ed. If a rehabilitation physician is not available on 
a daily basis to the facility, the facility shall 
provide for the rehabilitation management of the 
patient by another physician with rehabilitation 
experience. In addition, oversight for the patient's 
interdisciplinary treatment plan shall be provided 
by a rehabilitation physician who visits patients 
weekly, makes recommendations for and approves 
the interdisciplinary treatment plan, and provides 
consultation as requested to the physician who is 
managing the patien t on a dail\ basis. 

(d) An inpatient rehabilitation facility or unit's 
contract or agreements with a rehabilitation physi- 
cian shall require that the rehabilitation physician 
shall actively participate in individual case confer- 
ences or care planning sessions and shall review 
and sign discharge summaries and records. When 
patients are to be discharged to either another 
health care facility or a residential setting, the 
facility shall assure that the patient has been 
provided with a discharge plan which incorporates 
optimum utilization of community resources and 
post discharge continuity of care and services. 

(e) The intensity of physician medical services 
and the frequency of regular contacts for medical 
care for the patient shall be determined by the 
patient's pathophysiologic needs. 

(f) Where the attending physician of a patient jn 
an inpatient rehabilitation facility or unit orders 
medical consultations for fjie patient, such consul- 
tations should be provided by qualified physicians 
within 24 hours of the physician's order. In order 
to achieve this result, the contracts or agreements 
between inpatient rehabilitation facilities or units 
and medical consultants shall require that such 
consultants render the requested medical consulta- 
tion within 24 hours. 

(g) An inpatient rehabilitation facility or unit 



2405 



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NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



shall have a mechanism for determining the quali- 
fications of the physicians rendering physical 
rehabilitation services in the facility or unit. 

Statutory Authority G.S. 131E-79; 143B-165. 

.2022 ADMISSION CRITERIA FOR 

INPATIENT REHABILITATION 
FACILITIES OR UNITS 

(a) The facility shall have written criteria for 
admission to the inpatient rehabilitation facility or 
unit. A description of programs or services for 
screening the suitability of a given patient for 
placement shall be available to staff and referral 
sources. 

(b) For patients found unsuitable for admission 
to the inpatient rehabilitation facility or unit, there 
shall be documentation of the reasons. 

(c) Within 48 hours of admission a preliminary 
assessment shall be completed by members of the 
interdisciplinary team to insure the appropriateness 
of placement and to identify the immediate needs 
of the patient. 

(d) Patients admitted to an inpatient rehabilita- 
tion facility or unit must be able to tolerate a 
minimum of three hours of rehabilitation therapy, 
five days a week, including at least two of the 
following rehabilitation services: physical therapy, 
occupational therapy or speech therapy. 

(e) Patients admitted to an in patient rehabilita- 
tion facility or unit must be medically stable, have 
a prognosis indicating a progressively improved 
medical condition and have the potential for 
increased independence. 

Statutory Authority G.S. 131E-79; 143B-165. 

.2023 COMPREHENSIVE INPATIENT 

REHABILITATION EVALUATION 

(a) A comprehensive, inpatient rehabilitation 
evaluation is required for each patient admitted to 
an inpatient rehabilitation facility or unit. At a 
minimum this evaluation shall include the reason 
for referral, a summary of the patient's clinical 
condition, functional strengths and limitations, and 
indications for specific services. This evaluation 
shall be completed within three days. 

(b) Each patient shall be evaluated by the inter- 
disciplinary team to determine the need for any of 
the following services: medical, dietary, occupa- 
tional therapy, physical therapy, prosthetics and 
orthotics, psychological assessment and therapy, 
therapeutic recreation, rehabilitation medicine, 
rehabilitation nursing, therapeutic counseling or 
social work, vocational rehabilitation evaluation 



and speech-language pathology. 

Statutory Authority G.S. 131E-79; 143B-165. 

.2024 COMPREHENSIVE rNPATIENT 
REHABILITATION 
INTERDISCIPLINARY 
TREAT/PLAN 

(a) The interdisciplinary treatment team shall 
develop an individual treatment plan for each 
patient within seven days after admission. The 
plan shall include evaluation findings and informa- 
tion about the following: 

( 1) prior level of function; 

ill 

£3} 



:urrent functional limitations; 



specific service needs; 

(4) treatment, supports and adaptations to 
be provided; 

(5) specified treatment goals; 

(6) disciplines responsible for implementa- 
tion of separate parts of the plan; and 

(7) anticipated time frames for the accom- 
plishment of specified long-term and 
short-term goals. 

(b) The treatment plan shall be reviewed by the 
team at least every other week. Documentation of 
each review shall include progress toward defined 
goals and identification of any changes in the 
treatment plan. 

(c) The treatment plan shall include provisions 
for all of the services identified as needed for the 
patient in the comprehensive, inpatient rehabilita- 
tion evaluation completed in accordance with Rule 
.2203 of this Subchapter. 

(d) Each patient shall have a designated case 
manager who is responsible for the coordination of 
the patient's individualized treatment plan. The 
case manager is responsible for promoting the 
program's responsiveness to the needs of the 
patient and should participate in aff team confer- 
ences concerning the patient's progress toward the 
accomplishment of specified goals. Any of the 
professional staff involved in the patient's care 
may be ffie designated case manager for one or 
more cases, or the director of nursing or social 
worker may accept the coordination responsibility 
for the patients. 

Statutory Authority G.S. 131E-79; 143B-165. 

.2025 DISCHARGE CRITERIA FOR 
INPATIENT REHABILITATION 
FACILITIES OR UNITS 

(a) Discharge planning shall be an integral part 
of the patient's treatment plan and shall begin upon 



7:21 



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February 1, 1993 



2406 



PROPOSED RULES 



admission to the facility. After established goals 
have been reached, or a determination has been 
made that care in a less intensive setting would be 
appropriate, or that further progress js unlikely, 
the patient shall be discharged to an appropriate 
setting. Other reasons for discharge may include 
an inability or unwillingness of patient or family to 
cooperate with the planned therapeutic program or 
medical complications that preclude a further 
intensive rehabilitative effort. The facility shall 
involve the patient, family, staff members and 
referral sources in discharge planning. 

(b) The case manager shall facilitate the dis- 
charge or transfer process in coordination with the 
facility social workers. 

(c) If a patient is being referred to another 
facility for further care, appropriate documentation 
of the patient's current status shall be forwarded 
with the patient. A formal discharge summary 
shall be forwarded within 48 hours following 
discharge and shall include the reasons for refer- 



ral, the diagnosis, functional limitations, services 
provided, the results of services, referral action 
recommendations and activities and procedures 
used by the patient to maintain and improve 
functioning. 

Statutory Authority G.S. 131E-79: 143B-165. 

.2026 COMPREHENSIVE 

REHABILITATION PERSONNEL 
ADMINISTRATION 

(a) The facility shall have qualified staff mem- 
bers, consultants and contract personnel to provide 
services to the patients admitted to the inpatient 
rehabilitation facility or unit. 

(b) Personnel shall be employed or provided by 
contractual agreement in sufficient types and 
nu mber s to meet the ncciN of aj] patient'- admitted 
for comprehensive rehabilitation. 

(c) Written agreements shall be maintained by 
the facility when services are provided by contract 
on an ongoing basis. 

Statutory Authority G.S. 131E-79; 143B-165. 

.2027 COMPREHENSIVE LNPATIENT 
REHABILITATION PROGRAM 
STAFFING REQS. 

(a) The staff of the inpatient rehabilitation 
facility or unit shall include at a minimum: 

( 1 ) The inpatient rehabilitation facility or 
unit shall be supervised by a rehabilita- 
tion nurse. The facility shall identify 
the nursing skills necessary to meet the 



12] 



13J 



ill 



15] 



16] 



needs of the rehabilitation patients in 
the unit and assign staff qualified to 
meet those needs. 

The minimum nursing hours per patient 
in the rehabilitation unit shall be 5.5 
nursing hours per patient day. At no 
time shall direct care nursing staff be 
less than two full-time equivalents, one 
of which must be a registered nurse. 
The inpatient rehabilitation unit shall 
employ or provide by contractual agree- 
ments sufficient therapists, licensed in 
North Carolina, to provide a minimum 
of three hours of specific or combined 
rehabilitation therapy services per 
patient day . 

Physical therapy assistants and occupa- 
tional therapy assistants shall be 
licensed or certified and shall be 
supervised on-site by licensed physical 
therapists or licensed occupational 
therapists. 

Rehabilitation aides shall have 
documented therapy training. be 
supervised on-site by licensed physical 
therapists or licensed occupational 
therapists, and be regularly assigned to 
the unit. 

Hours of service by rehabilitation nurse 
aides shall be counted toward nursing 
hours and not toward required therapy 
hours unless the rehabilitation nurse 
aide is working under the direct 
supervision of a licensed therapist and 
the rehabilitation nurse aide has had 
training as defined m Rule .2028 of this 
Section. Rehabilitation nurse aide 
hours counted toward required therapy 
hours shall not also be counted as 
required nursing hours. Hours of 
service by rehabilitation nurse aides jn 
areas of the facility other than the 
rehabilitation unit shall not be counted 
toward the 5.5 hour minimum nursing 
requirements described for the 
rehabilitation unit. 



(b) Additional personnel shall be provided as 
required to meet the needs of the patient, as 
defined in the comprehensive. inpatient 
rehabilitation evaluation. 



Statutory Authority G.S. 131E-79; I43B-165. 

.2028 STAFF TRAINING FOR 

LNPATIENT REHABILITATION 



2407 



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NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



FACILITIES OR UNIT 

Prior to the provision of care, all rehabilitation 
personnel, excluding physicians, assigned to the 
rehabilitation unit shall be provided training or 
shall provide documentation of training, that 
includes at a minimum the following: 

( 1 ) active and passive range of motion; 

(2) assistance with ambulation; 

(3) transfers; 

(4) maximizing functional independence; 

(5) the psycho-social needs of the 
rehabilitation patient; 

(6) the increased safety risks of rehabilitation 
training (including falls and the use of 
restraints); 

(7) proper body mechanics; 

(8) nutrition, including dysphagia and 
restorative eating; 

(9) communication with the aphasic and 
hearing impaired patient; 

(10) behavior modification; and 

(11) bowel and bladder training. 

Statutory Authority G.S. 131E-79; 143B-165. 

.2029 EQUIPMENT REQS/ 

COMPREHENSIVE INPATIENT 
REHABILITATION PROGRAMS 

(a) Each discipline must be provided the 
necessary equipment and treatment methods to 
achieve the short and long-term goals specified in 
the comprehensive inpatient rehabilitation 
interdisciplinary treatment plans for patients 
admitted to these facilities or units. 

(b) Each patient's needs for a standard 
wheelchair or a specially designed wheelchair or 
additional devices to allow safe and independent 
mobility within the facility shall be met. 

(c) Special physical therapy and occupational 
therapy equipment for use in fabricating 
positioning devices for beds and wheelchairs shall 
be provided, including splints, casts, cushions, 
wedges and bolsters. 

(d) Physical therapy devices, including a mat 
table, parallel bars and sliding boards and special 
adaptive bathroom equipment shall be provided. 

Statutory Authority G.S. 131E-79; 143B-165. 

.2030 PHYSICAL FACILITY REQS/ 

INPATIENT REHABILITATION 
FACILITIES OR UNITS 

(a) The inpatient rehabilitation facility or unit 
shall be in a designated area and shall be used for 
the specific purpose of providing a comprehensive. 



inpatient rehabilitation program. 

(b) The floor area of a single bedroom shall he 
sufficient for the patient or the staff to easily 
transfer the patient from the bed to a wheelchair 
and to maneuver a 180-degree turn with a 
wheelchair on at least one side of the bed. 



(c) The floor area of a multi-bed bedroom shall 
be sufficient for the patient or the staff to easily 
transfer the patient from the bed to a wheelchair 
and to maneuver a 1 80-degree turn with a 
wheelchair between beds. 



(d) Each patient room shall meet the following 
requirements: 

(1) Maximum room capacity of no more 
than four patients; 

Windows operable without the use of 
tools; 



(2) 
£1 



A nurse call system designed to meet 
the special needs of rehabilitation 
patients; 

(4) In single and two-bed rooms with 
private toilet room, the lavatory may be 
located in the toilet room; 

(5) A wardrobe or closet for each patient 
which is wheelchair accessible and 
arranged to allow the patient to access 
the contents; 

(6) A chest of drawers or built-in drawer 
storage with mirror above, which is 
wheelchair accessible; and 

(7) A bedside table for toilet articles and 
personal belongings. 

(e) Space for emergency equipment such as 
resuscitation carts shall be provided and shall be 
under direct control of the nursing staff, in close 
proximity to the nurse's station and out of traffic. 

(f) Patients' bathing facilities shall meet the 
following specifications: 

(1) There shall be at least one shower stall 
or one bathtub for each 15 beds not 
individually served. Each tub or 
shower shall be in an individual room 
or privacy enclosure which provides 
space for the private use of the bathing 
fixture, for drying and dressing and for 
a wheelchair and an assisting attendant. 

(2) Showers in central bathing facilities 
shall be at least four foot square 
without curbs and designed to permit 
use by a wheelchair patient. 

(g) Patients' toilet rooms and lavatories shall 
meet the following specifications: 

( 1 ) The size of toilets shall permit a 
wheelchair, a staff person and 
appropriate wheel-to-water closet 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2408 



PROPOSED RULES 





transfers. 




provisions for privacy). 


£2) 


A lavatory in the room must permit 


(k) If vocational therapy services are provided. 




wheelchair access. 


the following space shall be made available as 


ill 


Lavatories serving patients shall: 


necessary: 


LM 


allow wheelchairs to extend under the 


ill 


office space for staff; 




lavatory; and 


ill 


workspace for vocational services activ- 


IB] 


have water supply spout mounted so 




ities such as prevocational and voca- 




that its discharge point is a minimum 




tional evaluation; 




of five inches above the rim of the 


13] 


training space; 




fixture. 


(4) 


storage for equipment; and 


L4j 


Lavatories used by patients and by staff 


£5) 


counseling and placement space. 




shall be equipped with blade-operated 


ill 


Recreational therapy space requirements 




supply valves. 


include the following: 


ih] Th 


; space provided for physical therapy. 


ill 


activities space; 


occupational therapy and speech therapy by all 


ill 


storage for equipment and supplies; 


inpatient 


ehabilitation facilities or units may be 


LD 


office space for staff; and 


shared bu 


must, at a minimum, include: 


Ml 


access to male and female toilets. 


lii 


office space for staff; 


(m) 


The following space shall be provided for 


(21 


office space for speech therapy 


patient 


s dining, recreation and day areas: 




evaluation and treatment; 


01 


sufficient room for wheelchair move- 


111 


waiting space; 




ment and wheelchair dining seating; 


L4j 


training bathroom which includes toilet. 


ill 


if food service is cafeteria type, ade- 




lavatory and bathtub; 




quate width for wheelchair maneuvers. 


fa 


gymnasium or exercise area; 




queue space within the dining area (and 


£6} 


work area such as tables or counters 




not in a corridor) and a serving counter 




suitable for wheelchair access; 




low enough to view food; 


in 


treatment areas with available privacy 


L3J 


for inpatients, a minimum of 25 square 




curtains or screens; 




feet per bed; 


(8) 


an activities of daily living training 


141 


for outpatients participating in a day 




kitchen with sink, cooking top. 




program or partial day program, 20 




refrigerator and counter surface for 




square feet when dining is a part of the 




meal preparation; 




program and 10 square feet when din- 


£21 


storage for clean linens, supplies and 




ing is not a part of the program; 




equipment; 


151 


storage for recreational equipment and 


(10) 


janitor's closet accessible to the therapy 




supplies, tables and chairs: and 




area with floor receptor or service sink 


161 


dining and activity areas with windows 




and storage space for housekeeping 




that are operable without the use of 




supplies and equipment, one closet or 




tools. 




space may serve more than one area of 


(n) The patient dining, recreation and day area 




the inpatient rehabilitation facility or 


spaces 


must be provided with outdoor exposure. 




unit; and 


(o) A laundry shall be available and accessible 


ILL) 


hand washing facilities. 


for patients. 


ill For 


social work and psychological services 






the following shall be provided: 


Statutory Authority G.S. 131E-79; 143B-165. 


lii 


office space for staff; 






01 


office space for private interviewing 


.2031 


ADDITIONAL REQUIREMENTS 




and counseling for all family members; 




FOR TRAUMATIC BRAIN INJURY 




and 




PATIENTS 


01 


workspace for testing, evaluation and 


In pat 


lent rehabilitation facilities providing servic- 




counseling. 


es to persons with traumatic brain injuries shall 


Lii 11" 


prosthetics and orthotics services are 


meet the requirements in this Subsection in addi- 


provided. 


the following space shall be made 


tion to those identified in this Section. 


available 


as necessary: 


Ill 


Direct care nursing personnel staffing 


lii 


work space for technician; and 




ratios established in Rule .2027 of this 


£2] 


space for evaluation and fittings (with 




Section shall not be applied to nursing 



2409 



7:21 



NORTH CAROLINA REGISTER 



February I, 1993 



PROPOSED RULES 



services for traumatic brain injury pa- 
tients in the inpatient rehabilitation facili- 
ty_ or unit. The minimum nursing hours 
per traumatic brain injury patient in the 
unit shall be 6.5 nursing hours per patient 
day. At no time shall direct care nursing 
staff be less than two full time equiva- 
lents, one of which must be a registered 
nurse. 

(2) The inpatient rehabilitation facility or unit 
shall employ or provide by contractual 
agreements sufficient therapists licensed 
in North Carolina to provide a minimum 
of 4^5 hours of specific or combined 
rehabilitation therapy services per trau- 
matic brain injury patient day. 

(3) Special facility or equipment needs for 
patients with traumatic brain injury- 
including a quiet room for therapy, spe- 
cially designed wheelchairs, standing 
tables and computers with cognitive 
retraining software. 

Statutory Authority G.S. 131E-79; 143B-165. 

.2032 ADDITIONAL REQUIREMENTS 
FOR SPINAL CORD INJURY 
PATIENTS 

Inpatient rehabilitation facilities providing servic- 
es to persons with spinal cord injuries shall meet 
the requirements in this subsection j_n addition to 
those identified in this Section. 

(1) Direct care nursing personnel staffing 
ratios established in Rule .2027 of this 
Section shall not be applied to nursing 
services for spinal cord injury patients in 
the inpatient rehabilitation facility or unit. 
The minimum nursing hours per spinal 
cord injury patient in the unit shall be 6.0 
nursing hours per patient day. At no 
time shall direct care nursing staff be less 
than two full time equivalents, one of 
which must be a registered nurse. 

(2) The inpatient rehabilitation facility or unit 
shall employ or provide by contractual 
agreements sufficient therapists licensed 
in North Carolina to provide a minimum 
of 4J3 hours of specific or combined 
rehabilitation therapy services per spinal 
cord injury patient day. 

(3) Special facility or special equipment 
needs of patients with spinal cord injury, 
including specially designed wheelchairs, 
tilt tables and standing tables. 



Statutory Authority G.S. 131E-79; 143B-165. 

.2033 DEEMED STATUS FOR 

E^PATIENT REHABILITATION 
FACILITIES OR UNITS 

(a) If an inpatient rehabilitation facility or unit 
with a comprehensive inpatient rehabilitation 
program is surveyed and accredited by the Joint 
Commission for the Accreditation of Health Care 
Organizations (JCAHO) or the Commission on 
Accreditation of Rehabilitation Facilities (CARF) 
and has been approved by the Department in 
accordance with Article 9 Chapter 13 IE of the 
North Carolina General Statutes, the Department 
deems the facility to be in compliance with Rules 
.2020 through .2033 of this Section. 

(b) Deemed status may be provided only if the 
facility provides copies of survey reports to the 
Division. The JCAHO report must show that the 
facility was surveyed for rehabilitation services. 
The CARF report must show that the facility was 
surveyed for comprehensive rehabilitation services. 
The facility must sign an agreement (Memorandum 
of Understanding) specifying these terms. 

(c) If an inpatient rehabilitation facility or unit 
with a comprehensive inpatient rehabilitation 
program is surveyed and accredited by the Com- 
mission on Accreditation of Rehabilitation Facili- 



ties for a traumatic brain injury program or a 
spinal cord injury program, the Department deems 
the facility to be in compliance with Rules .2031 
and .2032 of this Section respectively. 

(d) The facility shall be subject to inspection by 
representatives of the Department at any time to 
determine compliance with the rules. 

(e) If the facility loses or does not renew its 
accreditation the Division must be notified in 
writing within 30 days. 

Statutory Authority G.S. 131E-79. 

SUBCHAPTER 3H - RULES FOR 

THE LICENSING OF 

NURSING HOMES 

SECTION .0200 - LICENSURE 

.0219 EVSPECTIONS 

(a) Any nursing home licensed by the Depart- 
ment may be inspected by an authorized represen- 
tative of the Department at any time. Generally, 
inspections will be conducted between the hours of 
8:00 a.m. and 6:00 p.m., Monday through Friday. 
However, complaint investigations shall be con- 
ducted at the most appropriate time for investigat- 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2410 



PROPOSED RULES 



ing allegations of the complaint. 

(b) At the time of inspection, any authorized 
representative of the Department shall make his 
presence known to the Administrator or other 
person in charge who shall cooperate with the 
representative(s) and facilitate the inspection. 

(c) Insp e ctions — of medical — r e cord s — w-i-H — be 
carr i ed out in accordanc e with G.S. — 1 3 I E 1 05 . 
Any nursing home licensed by the Department 
shall permit the Department's authorized agent to 
photocopy any writing or record m any recording 
medium which the agents have reviewed pursuant 
to G.S. 1 3 1 E- 1 05 and G.S. 13 IE- 1 24. provided 
that the Department's authorized agents shall 
photocopy only those records necessary to 
document apparent possible non-compliance with 
federal or state nursing home laws, rules or 
regulations observed by the Department's 
authorized agent during an examination conducted 
pursuant to Paragraph (a) of this Rule. 

(d) The facility Administrator shall provide and 
make available to representatives of the 
Department financial and statistical records 
required to verify compliance with G.S. 131 E- 111 
and all rules contained in this Subchapter. 

(e) Personnel records shall also be made 
available to the Department's authorized agent for 
the purpose of verifying employee credentials, 
qualifications, training and orientation. Other 
specific personnel records shall be made available 
to the Department's authorized agent for 
employees who may be the subject of an 
investigation of potential abuse or neglect of a 
patient or misappropriation of patient funds. 
These records will only be used to determine the 
validity of the allegation. No personnel records 
shall be made available that would violate an 
employee's confidentiality as determined by federal 
or state law. 

fe}(f) The Department shall mail a written report 
of the licensure survey or complaint investigation 
which shall include statements of any deficiencies 
cited to the facility within 10 working days from 
the date of the licensure survey or complaint 
investigation exit conference. 

ff-)(g) The facility Administrator shall prepare a 
written plan of correction and mail it to the 
Department within 10 working days following 
receipt of any statement of deficiencies. The plan 
of correction shall be reviewed and accepted or 
rejected with written notice given to the 
Administrator within 10 working days of receipt 
by the Department. 

Statutory Authority G.S. 131E-104. 



SECTION .1100 - SPECIALIZED 

REHABILITATIVE AND HABILITATIVE 

SERVICES 

.1150 DEFINITIONS 

The following definitions shall apply to inpatient 
rehabilitation facilities or units only: 



<Aj 



"Case management' 



i2i 



01 



^J 



ill 



16] 



CD 



18) 



means the 
coordination of services, for a given 



patient, between disciplines so that the 
patient may reach optional rehabilitation 
through the judicious use of resources. 
"Comprehensive inpatient rehabilitation 
program" means a program for the 
treatment of persons with functional 
limitations or chronic disabling conditions 
who have the potential to achieve a 
significant improvement m activities of 
daily living. A comprehensive 

rehabilitation program utilizes a 
c o o r d i n a t e d and integrated, 
interdisciplinary approach, directed by a 
physician, to assess patient needs and to 
provide treatment and evaluation of 
physical, psycho social and cognitive 
deficits. 

"Inpatient rehabilitation facility or unit" 
means a free-standing facility or a unit 
(unit pertains to contiguous dedicated 
beds and spaced) within an existing 
licensed health service facility approved 
in accordance with G.S. 131E, Article 9 
to establish inpatient, rehabilitation beds 
and to provide a comprehensive, inpatient 
rehabilitation program. 
" Medical consultations " means 
consultations which the rehabilitation 
physician or the attending physician 
determine are necessary to meet the acute 
medical needs of the patient and do not 
include routine medical needs. 
"Occupational therapist" means any 
individual licensed in the State of North 
Carolina [n accordance with the 
provisions of G.S. 90. Article 18D. 
"Occupational therapist assistant" means 
any individual licensed in the State of 
North Carolina in accordance with the 
provisions of G.S. 90, Article 18D. 
"Psychologist" means a person licensed 
as a practicing psychologist in accordance 
with G.S. 90, Article 18A. 
"Physiatrist" means a licensed physician 
who has completed a physical medicine 
and rehabilitation residency training 



2411 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



121 



(10) 



12) 



Oil 



(14) 



U5i 



program approved by the Accrediting 
Council of Graduate Medical Education 
or the American Osteopathic Association. 
"Physical therapist" means any person 
licensed in the State of North Carolina in 
accordance with the provisions of G.S. 
90, Article 18B. 

"Physical therapist assistant" means any 
person licensed jn the State of North 
Carolina in accordance with the 
provisions of G.S. 90-270.24, Article 
18B. 

"Recreational therapist" means a person 
certified by the North Carolina State 
Board of Therapeutic Recreation. 
"Rehabilitation nurse" means a registered 
nurse licensed in North Carolina, with 
specialized training and at least one year 
experience in physical rehabilitation 
nursing. 

"Rehabilitation nurse aide" is a nurse 
aide listed on the North Carolina Nurse 
Aide Registry, who also has therapy 
training and works under the supervision 
and direction of a licensed physical 
therapist in accordance with the 
provisions of G.S. 90, Article 18B. 
"Rehabilitation physician" means a 
physiatrist or a physician who specializes 
j_n neurology, physical medicine, or 
orthopaedics and has at least two years 
experience in physical rehabilitation care. 
"Social worker" means a person certified 
by the North Carolina Certification Board 
for Social Work in accordance with G.S. 
90B-3. 



16) "Speech and language pathologist" means 
any person licensed in the State of North 
Carolina i_n accordance with the 
provisions of G.S. 90-292. Article 22. 



Statutory Authority G.S. 131E-104. 

.1151 PHYSICIAN REQUIREMENTS/ 
INPATIENT REHABILITATION 
FACILITIES OR UNITS 

(a) In a rehabilitation facility or unit a physician 
shall participate in the provision and management 
of rehabilitation services and jn the provision of 
medical services. 

(b) In a rehabilitation facility or unit a 
rehabilitation physician shall be responsible for a 
patient's interdisciplinary treatment plan. Each 
patient's interdisciplinary treatment plan shall be 
developed and implemented under the supervision 



of a rehabilitation physician. 

(c) The intensity of a comprehensive 
rehabilitation program requires that there shall be 
direct patient contact by a physician daily while 
full interdisciplinary therapy services are being 
provided. If a rehabilitation physician is not 
available on a daily basis to the facility, the facility 
shall provide for the rehabilitation management of 
the patient by another physician with rehabilitation 
experience. In addition, oversight for the patient's 
interdisciplinary treatment plan shall be provided 
by a rehabilitation physician who visits patients 
weekly, makes recommendations for and approves 
the interdisciplinary treatment plan, and provides 
consultation as requested to the physician who is 
managing the patient on a daily basis. 

(d) An inpatient rehabilitation facility or unit's 
contract or agreements with a rehabilitation 
physician shall require that the rehabilitation 
physician shall actively participate in individual 
case conferences or care planning sessions and 
shall review and sign discharge summaries and 
records. When patients are to be discharged to 
either another health care facility or a residential 
setting, the facility shall assure that the patient has 
been provided with a discharge plan which 
incorporates optimum utilization of community 
resources and post discharge continuity of care and 
services. 

(e) The intensity of physician medical services 
and the frequency of regular contacts for medical 
care for the patient shall be determined by the 
patient's pathophysiologic needs. 

(f) Where the attending physician of a patient in 
an inpatient rehabilitation facility or unit orders 
medical consultations for the patient, such 
consultations should be provided by qualified 
physicians within 24 hours of the physician's 
order. In order to achieve this result, the contracts 
or agreements between inpatient rehabilitation 
facilities or units and medical consultants shall 
require that such consultants render the requested 
medical consultation within 24 hours. 

(g) An inpatient rehabilitation facility or unit 
shall have a mechanism for determining the 
qualifications of the physicians rendering physical 
rehabilitation services in the facility or unit. 

Statutory Authority G.S. 131E-104. 

.1152 ADMISSION CRITERIA FOR 

INPATIENT REHABILITATION 
FACILITIES OR UNITS 

(a) The facility shall have written criteria for 
admission to the inpatient rehabilitation facility or 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2412 



PROPOSED RULES 



unit. A description of programs or services for 
screening the suitability of a given patient for 
placement shall be available to staff and referral 
sources. 

(b) For patients found unsuitable for admission 
to the inpatient rehabilitation facility or unit, there 
shall be documentation of the reasons. 

ici Within 48 hours of admission a preliminary 
assessment shall be completed by members of the 
interdisciplinary team to insure the appropriateness 
of placement and to identify the immediate needs 
of the patient. 

(d) Patients admitted to an inpatient 
rehabilitation facility or unit must be able to 
tolerate a minimum of three hours of rehabilitation 
therapy, five days a week, including at least two of 
the following rehabilitation services: physical 
therapy, occupational therapy or speech therapy. 

(e) Patients admitted to an inpatient 
rehabilitation facility or unit must be medically 
stable. have a prognosis indicating a progressively 
improved medical condition and have the potential 
for increased independence. 

Statutory Authority G.S. 131E-104. 



.1153 COMPREHENSIVE INPATIENT 

REHABILITATION EVALUATION 

(a) A comprehensive, inpatient rehabilitation 
evaluation is required for each patient admitted to 
an inpatient rehabilitation facility or unit. At a 
minimum this evaluation shall include the reason 
for referral, a summary of the patient's clinical 
condition, functional strengths and limitations, and 
indications for specific services. This evaluation 
shall be completed within three days. 

(b) Each patient shall be evaluated by the 
interdisciplinary team to determine the need for 
any of the following sen ices: medical, dietary. 
occupational therapy, physical therapy, prosthetics 
and orthotics, psychological assessment and 
therapy, therapeutic recreation, rehabilitation 
medicine. rehabilitation nursing. therapeutic 
counseling or social work, vocational rehabilitation 
evaluation and speech-language pathology. 

Statutory Authority G.S. 131E-104. 

.1154 COMPREHENSIVE LNPATIENT 
REHABILITATION 
INTERDISCIPLINARY TREAT/ 
PLAN 

(a) The interdisciplinary treatment team shall 
develop an individual treatment plan for each 
patient within seven days after admission. The 



plan shall include evaluation findings and 
information about the following: 



0] 

ill 

ID 

14) 

m 

(6] 



prior level of function: 
current functional limitations; 



specific service needs; 
treatment, supports and adaptations to 
be provided; 

specified treatment goals; 
disciplines responsible f o r 
implementation of separate parts of the 
plan: and 
(7) anticipated time frames for the 
accomplishment of specified long-term 
and short-term goals. 

(b) The treatment plan shall be reviewed by the 
team at least every other week . Documentation of 
each review shall include progress toward defined 
goals and identification of any changes in the 
treatment plan. 

(c) The treatment plan shall include provisions 
for all of the services identified as needed for the 
patient in the comprehensive inpatient, 
rehabilitation evaluation completed in accordance 
with Rule .2203 of this Subchapter. 

(d) Each patient shall have a designated case 
manager who is responsible for the coordination of 
the patient's individualized treatment plan. The 
case manager is responsible for promoting the 
program's responsiveness to the needs of the 
patient and should participate in aH team 
conferences concerning the patient's progress 
toward the accomplishment of specified goals. 
Any of the professional staff involved in the 
patient's care may be the designated case manager 
for one or more cases, or the director of nursing 
or social worker may accept the coordination 
responsibility for the patients. 

Statutory Authority G.S. 131E-104. 

.1155 DISCHARGE CRITERIA FOR 
INPATIENT REHABILITATION 
FACILITIES OR UNITS 

(a) Discharge planning shall be an integral pail 
of the patient's treatment plan and shall begin upon 
admission to the facility. After established goals 
have been reached, or a determination has been 
made that care [n a less intensive setting would be 
appropriate, or that further progress is unlikely. 
the patient shall be discharged to an appropriate 
setting. Other reasons for discharge may include 
an inability or unwillingness of patient or family to 
cooperate with the planned therapeutic program or 
medical complications that preclude a further 
intensive rehabilitative effort. The facility shall 



1413 



7:21 



XORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



involve the patient, family, staff members and 
referral sources in discharge planning. 

(b) The case manager shall facilitate the 
discharge or transfer process in coordination with 
the facility social workers. 

(c) If a patient is being referred to another 
facility for further care, appropriate documentation 
of the patient's current status shall be forwarded 
with the patient. A formal discharge summary 
shall be forwarded within 48 hours following 
discharge and shall include the reasons for 
referral, the diagnosis, functional limitations, 
services provided, the results of services, referral 
action recommendations and activities and 
procedures used by the patient to maintain and 
improve functioning. 

Statutory Authority G.S. 131E-104. 

. 1 1 56 COMPREHENSIVE 

REHABILITATION PERSONNEL 
ADMINISTRATION 

(a) The facility shall have qualified staff 
members, consultants and contract personnel to 
provide services to the patients admitted to the 
inpatient rehabilitation facility or unit. 

(b) Personnel shall be employed or provided by 
contractual agreement in sufficient types and 
numbers to meet the needs of all patients admitted 
for comprehensive rehabilitation. 

(c) Written agreements shall be maintained by 
the facility when services are provided by contract 
on an ongoing basis. 

Statutory Authority G.S. 131E-104. 

.1157 COMPREHENSIVE INPATIENT 
REHABILITATION PROGRAM 
STAFFING REQS. 

(a) The staff of the inpatient rehabilitation 
facility or unit shall include at a minimum: 

( 1 ) The inpatient rehabilitation facility or 
unit shall be supervised by a 
rehabilitation nurse. The facility shall 
identify the nursing skills necessary to 
meet the needs of the rehabilitation 
patients in the unit and assign staff 
qualified to meet those needs. 
The minimum nursing hours per patient 
in the rehabilitation unit shall be 5.5 
nursing hours per patient day. At no 
time shall direct care nursing staff be 
less than two-full time equivalents, one 
of which must be a registered nurse. 
The inpatient rehabilitation unit shall 



(21 



(4) 



{§) 



£61 



employ or provide by contractual 
agreements sufficient therapists, 
licensed in North Carolina, to provide 
a minimum of three hours of specific or 
combined rehabilitation therapy services 
per patient day. 

Physical therapy assistants and 
occupational therapy assistants shall be 
licensed or certified and shall be 
supervised on-site by licensed physical 
therapists or licensed occupational 
therapists. 

Rehabilitation aides shall have 
documented therapy training, be 
supervised on-site by licensed physical 
therapists or licensed occupational 
therapists, and be regularly assigned to 
the unit. 

Hours of service by rehabilitation nurse 
aides shall be counted toward nursing 
hours and not toward required therapy 
hours unless the rehabilitation nurse 
aide is working under the direct 
supervision of a licensed therapist and 
the rehabilitation nurse aide has had 
training as defined in Rule . 1 158 of this 
Section. Rehabilitation nurse aide 
hours counted toward required therapy 
hours shall not also be counted as 
required nursing hours. Hours of 
service by rehabilitation nurse aides in 
areas of the facility other than the 
rehabilitation unit shall not be counted 
toward the 5.5 hour minimum nursing 
requirements described for the 
rehabilitation unit. 



I3J 



(b) Additional personnel shall be provided as 
required to meet the needs of the patient, as 
defined in the comprehensive, inpatient 
rehabilitation evaluation. 

Statutory Authority G.S. 131E-104. 

. 1 158 STAFF TRAINING FOR 

INPATIENT REHABILITATION 
FACILITIES OR UNIT 

Prior to ffie provision of care, all rehabilitation 
personnel, excluding physicians, assigned to the 
rehabilitation unit shall be provided training or 
shall provide documentation of training that 
includes at a minimum the following: 

( 1 ) active and passive range of motion: 

(2) assistance with ambulation: 

(3) transfers; 

(4) maximizing functional independence; 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2414 



PROPOSED RULES 



ill 

m 

01 
i8] 

m 

10 



the psycho-social needs of the 

rehabilitation patient; 

the increased safety risks of rehabilitation 

training (including falls and the use of 

restraints); 

proper body mechanics; 

nutrition. including dysphagia and 

restorative eating; 

communication with the aphasic and 

hearing impaired patient; 

behavior modification; and 

bowel and bladder training. 



Statutory Authority G.S. 131E-104. 

.1159 EQUIPMENT REQS/ 

COMPREHENSIVE INPATIENT 
REHABILITATION PROGRAMS 

(a) Each discipline must be provided the 
necessary equipment and treatment methods to 
achieve the short and long-term goals specified jn 
the comprehensive inpatient rehabilitation 
interdisciplinary treatment plans for patients 
admitted to these facilities or units. 

(b) Each patient's needs for a standard 
wheelchair or a specially designed wheelchair or 
additional devices to allow safe and independent 
mobility within the facility shall be met. 

(c) Special physical therapy and occupational 
therapy equipment for use in fabricating 
positioning devices for beds and wheelchairs shall 
be provided, including splints, casts, cushions, 
wedges and bolsters. 

(d) Physical therapy devices shall be provided, 
including a mat table, parallel bars and sliding 
boards and special adaptive bathroom equipment. 

Statutory Authority G.S. 131E-104. 

.1160 PHYSICAL FACILITY REQS/ 

INPATIENT REHABILITATION 
FACILITIES OR UNITS 

(a) The inpatient rehabilitation facility or unit 
shall be in a designated area and shall be used for 
the specific purpose of providing a comprehensive, 
inpatient rehabilitation program. 

(b) The floor area of a single bedroom shall be 
sufficient for the patient or the staff to easily 
transfer the patient from the bed to a wheelchair 
and to maneuver a 180-degree turn with a 
wheelchair on at least one side of the bed. 



(c) The floor area of a multi-bed bedroom shall 
be sufficient for the patient or the staff to easily 
transfer the patient from the bed to a wheelchair 
and to maneuver a 180-degree turn with a 



wheelchair between beds. 

(d) Each patient room shall meet the f ollowing 
requirements: 

(1) Maximum room capacity of no more 

than four patients; 

Windows operable without the use of 

tools; 

A nurse call system designed to meet 

the special needs of rehabilitation 

patients; 

In single and two-bed rooms with 



ill 
ill 



14} 



ill 



(6) 



ill 



private toilet room, the lavatory may be 

located in the toilet room; 

A wardrobe or closet for each patient 

which is wheelchair accessible and 

arranged to allow the patient to access 

the contents; 

A chest of drawers or built-in drawer 

storage with mirror above, which is 

wheelchair accessible; and 

A bedside table for toilet articles and 



personal belongings. 

(e) Space for emergency equipment such as 
resuscitation carts shall be provided and shall be 
under direct control of the nursing staff, in close 
proximity to the nurse's station and out of traffic. 

(f) Patients' bathing facilities shall meet the 
following specifications: 

( 1) There shall be at least one shower stall 
or one bathtub for each 15 beds not 
individually served. Each tub or 
shower shall be in an individual room 
or privacy enclosure which provides 
space for the private use of the bathing 
fixture, for drying and dressing and for 
a wheelchair and an assisting attendant. 

(2) Showers in central bathing facilities 
shall be at least four foot square 
without curbs and designed to permit 
use by a wheelchair patient. 

(g) Patients' toilet rooms and lavatories shall 
meet the following specifications: 

( 1 ) The size of toilets shall permit a 
wheelchair. a staff person and 
appropriate wheel-to-water closet 
transfers. 



ill 
ill 



A lavatory in the room must permit 

wheelchair access. 

Lavatories serving patients shall: 

(A) allow wheelchairs to extend under the 
lavatory: and 

(B) have water supply spout mounted so 
that its discharge point [s a minimum 
of five inches above the rim of the 
fixture. 



2415 



7:21 



NORTH CAROLINA REGISTER 



February i, 1993 



PROPOSED RULES 



{41 


Lavatories used by patients and by staff 


{51 


counseling and placement space. 




shall be equipped with blade-operated 


{11 


Recreational therapy space requirements 




supply valves. 


include the following: 


ihl Ih 


e space provided for physical therapy. 


01 


activities space; 


occupatio 


nal therapy and speech therapy by all 


{21 


storage for equipment and supplies; 


inpatient 


rehabilitation facilities or units may be 


ill 


office space for staff; and 


shared but must, at a minimum, include: 


{41 


access to male and female toilets. 


01 


office space for staff; 


{ml 


The following space shall be provided for 


m 


office space for speech therapy 


patient 


s dining, recreation and day areas: 




evaluation and treatment; 


ill 


sufficient room for wheelchair 


£3} 


waiting space; 




movement and wheelchair dining 


(4) 


training bathroom which includes toilet. 




seating: 




lavatory and bathtub; 


{21 


if food service is cafeteria type. 


{5) 


gymnasium or exercise area; 




adequate width for wheelchair 


i6) 


work area such as tables or counters 




maneuvers, queue space within the 




suitable for wheelchair access; 




dining area (and not in a corridor) and 


ill 


treatment areas with available privacy 




a serving counter low enough to view- 




curtains or screens; 




food; 


{81 


an activities of daily living training 


{31 


for inpatients, a minimum of 25 square 




kitchen with sink, cooking top. 




feet per bed; 




refrigerator and counter surface for 


{41 


for outpatients participating in a day 




meal preparation; 




program or partial day program, 20 


{91 


storage for clean linens, supplies and 




square feet when dining is a part of the 




equipment: 




program and 10 square feet when 


(10) 


janitor's closet accessible to the therapy 




dining is not a part of the program; 




area with floor receptor or service sink 


{51 


storage for recreational equipment and 




and storage space for housekeeping 




supplies, tables and chairs; and 




supplies and equipment, one closet or 


{61 


dining and activity areas with windows 




space may serve more than one area of 




that are operable without the use of 




the inpatient rehabilitation facility or 




tools. 




unit; and 


(n) The patient dining, recreation and day area 


OH 


hand washing facilities. 


spaces 


must be provided with outdoor exposure. 


ill For 


social work and psychological services 


M i 


\ laundry shall be available and accessible 


the following shall be provided: 


for pat 


cuts. 


ill 


office space for staff; 






{21 


office space for private interviewing 


Statuton- Authorin G.S. 131E-104. 




and counseling for all family members; 








and 


.1161 


ADDITIONAL REQUIREMENTS 


ID 


workspace for testing, evaluation and 




FOR TRAUMATIC BRAIN 




counseling. 




INJURY PATIENTS 


01 If 


prosthetics and orthotics services are 


Inpatient rehabilitation facilities providing 


provided. 


the following space shall be made 


services to persons with traumatic brain injuries 


available 


as necessary: 


shall meet the requirements in this Rule in addition 


01 


work space for technician; and 


to those identified in this Section. 


ill 


space for evaluation and fittings (with 


ill 


Direct care nursing personnel staffing 




provisions for privacy). 




ratios established in Rule .1157 of this 


(k) If vocational therapy services are provided. 




Section shall not be applied to nursing 


the following space shall be made available as 




services for traumatic brain injury 


necessary 






patients in the inpatient rehabilitation 


ill 


office space for staff; 




facility or unit. The minimum nursing 


{21 


workspace for vocational services 




hours per traumatic brain injury patient 




activities such as prevocational and 




in the unit shall be 6.5 nursing hours per 




vocational evaluation; 




patient day. At no time shall direct care 


{31 


training space; 




nursing staff be less than two full time 


{41 


storage for equipment; and 




equivalents, one of which must be a 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2416 



PROPOSED RULES 



registered nurse. 

(2) The inpatient rehabilitation facility or unit 
shall employ or provide by contractual 
agreements sufficient therapists licensed 
in North Carolina to provide a minimum 
of 4^5 hours of specific or combined 
rehabilitation therapy services per 
traumatic brain injury patient day. 

(3) Special facility or equipment needs of 
patients with traumatic brain injury- 
including a quiet room for therapy- 
spec i ally designed wheelchairs, standing 
tables and computers with cognitive 
retraining software. 

Statutory Authority G.S. 131E-104. 

. 1 1 62 ADDITIONAL REQUIREMENTS 
FOR SPINAL CORD INJURY 
PATIENTS 

Inpatient rehabilitation facilities providing 
services to persons with spinal cord injuries shall 
meet the requirements in this Rule in addition to 
those identified in this Section. 

(1) Direct care nursing personnel staffing 
ratios established in Rule . 1 157 of this 
Section shall not be applied to nursing 
services for spinal cord injury patients i_n 
the inpatient rehabilitation facility or unit. 
The minimum nursing hours per spinal 
cord injury patient in the unit shall be 6.0 
nursing hours per patient day . At no 
time shall direct care nursing staff be less 
than two full time equivalents, one of 
which must be a registered nurse. 

(2) The inpatient rehabilitation facility or unit 
shall employ or provide by contractual 
agreements sufficient therapists licensed 
in North Carolina to provide a minimum 
of 4JD hours of specific or combined 
rehabilitation therapy services per spinal 
cord injury patient day. 

(3) Special facility or equipment needs of 
patients with spinal cord injury, including 
specially designed wheelchairs, tilt tables 
and standing tables. 

Statutory Authority G.S. 131E-W4. 

. 1 1 63 dee:\led status for 

lntatient rehabilitation 
facilities or units 

(a) If an inpatient rehabilitation facility or unit 
with a comprehensive inpatient rehabilitation 
program is surveyed and accredited by the Joint 



Commission for the Accreditation of Health Care 
Organizations (JCAHO) or the Commission on 
Accreditation of Rehabilitation Facilities (CARP), 
and has been approved by the Department in 
accordance with G.S. 13 IE. Article 9± the 
department deems the facility to be in compliance 
with Rules . 1 150 through .1 163 of this Section. 

(b) Deemed status may be provided only if the 
facility provides copies of survey reports to the 
Division. The JCAHO report must show that the 
facility was surveyed for rehabilitation services. 
The CARF report must show that the facility was 
surveyed for comprehensive rehabilitation services. 
The facility must sign an agreement (Memorandum 
of Understanding) specifying these terms. 

(c) If an inpatient rehabilitation facility or unit 
with a comprehensive inpatient rehabilitation 
program is surveyed and accredited by the 
Commission on Accreditation of Rehabilitation 
Facilities for a traumatic brain injury program or 
a spinal cord injury program, the Department 
deems the facility to be in compliance with Rules 
.1161 and . 1 162 of this Section respectively. 

(d) The facility shall be subject to inspection by 
representatives of the Department at any time to 
determine compliance with the rules. 

(e) ]f the facility loses or does not renew its 
accreditation the Division must be notified in 
writing within 30 days. 

Statutory Authority G.S. 131E-104. 

SECTION . 1200 - ACTIVITIES 
AND RECREATION 

.1204 DESIGNATED PERSON 

The facility administrator shall designate an 
activities and recreation services director who shall 
be under the administrative supervision of the 
administrator^ be &h4 responsible for the activities 
and recreation services for all patients and who 
shall have appropriate management authority' 
resid e nts . Th e dir e ctor shall b e an individual 



ftftl- 



e ligibl e tor a N. — C. lic e nse as an occupatio 
th e rapist or assistant th e rapist und e r G.S. 90 270. 
or e ligibl e for N.C. c e rtification as a r e creation 
th e rapist or assistant th e rapist und e r G.S. 90C 9. 
or som e on e who has compl e t e d an approv e d 36 
hour — ef — long e r — course — m — activities — program 
manag e m e nt, or an individual r e c e iving at l e ast 
four hour s of consultation — pe? — month — from — a 



qualifi e d 



:upational — th e rapi s t — ef- — r e cr e atior 



th e rapist. Any director hired on or after the 
effective amended date of this Rule shall be a 
qualified professional who: 



2417 



7:21 



XORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



(1) Is a therapeutic recreation specialist or 
therapeutic recreation assistant certified 
by the North Carolina State Board of 
Therapeutic Recreation Certification 
pursuant to G.S. 90C-9 or is eligible for 
certification as a therapeutic recreation 
specialist by a recognized accrediting 
body; or 

(2) Has two years of experience in a social 
or recreation program within the last five 
years, one of which was full-time in a 
resident activities program in a health 
care setting; or 

(3) Is a qualified occupational therapist or 
occupational therapy assistant licensed as 
such by the North Carolina Board of 
Occupational Therapy pursuant to G.S. 
90-270.70; or 

(4) Is certified by the National Certification 
Council for Activity Professionals; or 

(5) Has completed an activities training 
course approved by the State. 

Authority G.S. 131E-104; G.S. 143B-1 65(10); 42 
U.S.C . 1396; 42 C.F.R. 483.15 if). 

SUBCHAPTER 3L - THE LICENSING 
OF HOME CARE AGENCIES 

SECTION .0900 - GENERAL 

.0903 APPLICATION FOR AND 
ISSUANCE OF LICENSE 

(a) An application for the operation of a home 
care agency shall be submitted to the Department 
prior to a license being issued. The home care 
agency shall establish, maintain and make available 
for inspection such documents, records and 
policies as required in this Section and statistical 
data sufficient to complete the licensure application 
and upon request of the Department, to submit an 
annual data report, including all information 
required by the Department. 

(b) The Department shall issue a license to each 
home care agency. Whether initial and ongoing 
licensure inspections include all premises of a 
home care agency and whether they include on-site 
inspections shall be at the discretion of the 
Department. Initial licensure shall be for a period 
of not more than one year. Unless the Department 
takes adverse action on a license as outlined in 
G.S. 131E-139, subsequent licensure shall extend 
for a minimum of one year and a maximum of 
three years, at the discretion of the Department. 
Each license shall expire at midnight on the expi- 



ration date on the license and is renewable upon 
application. 

(c) The license shall be posted in a prominent 
location accessible to public view within the 
premises. 

(d) The license shall be issued for the premises 
and persons named in the application and shall not 
be transferable. The name and street address 
under which the agency operates shall appear on 
the license. The license shall reflect the services 
provided by the home care agency. For a home 
health agency, the license shall also reflect the 
counties in which the agency is authorized to 
provide home health services. 

(e) Prior to change of ownership or the estab- 
lishment of a new home health agency, the agency 
must be in compliance with all the applicable 
statutes, rules and policies established under G.S. 
131E, Article 9. 

(f) Prior to change of ownership of a home care 
agency, the agency must notify the department. 

(g) Any agency adding a new service category 
as outlined in G.S. 131E-136 (3)(a)-(f) shall notify 
the department in writing prior to the provision of 
that service to any clients. The Department shall 
approve the added service prior to its implementa- 
tion. 

(h) A home care agency shall notify the Depart- 
ment in writing if it discontinues or is unable to 
provide for a period of six continuous months any 
service category as outlined in G.S. 13 1E- 
136(3)(a)-(f) that is listed on the agency's license. 

Statutory Authority G.S. 131E-140. 

SECTION .1100 - SCOPE OF 
SERVICES 

.1110 SUPERVISION AND 

COMPETENCY OF IN-HOME 
AIDES OR OTHER PERSONNEL 

(a) In-home aides or other allied health 
personnel subject to occupational licensing laws 
shall meet competency testing requirements 
consistent with the appropriate occupational 
licensing laws and regulations. These individuals 
shall be supervised by an appropriate health care 
professional. 

(b) In-home aides or other allied health 
personnel who are not subject to occupational 
licensing laws shall only be assigned duties for 
which they have demonstrated competency. These 
individuals shall be supervised by an appropriate 
professional or a competent, appropriately trained 
paraprofessional who is supervised by an appropri- 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2418 



PROPOSED RULES 



ate professional. 

(c) The appropriate supervisor as specified in 
Paragraphs (a) or (b) in this Rule shall supervise 
an in-home aide or other allied health personnel by 
making a supervisory visit to each client's place of 
residence at least every three months, with or 
without the in-home aide"s or other allied health 
personnel's presence, and at least annually, while 
the in-home aide or other allied health personnel is 
providing care to each client to access; th e car e and 
■ j e rvic e i - b e ing provided . 

(d) A quarterly visit to the home of each client, 
by the appropriate professional supervisor as 
specified [n Paragraphs (a) and (b) i_n this Rule will 
meet the minimum requirement for supervision of 
any and all in-home aides and any and all other 
allied health personnel who have provided service 
to the client within the quarter. The supervisory 
visit will include review of the client's general 
condition, progress and response to the services 
provided by the in-home aide or other allied health 
personnel. When follow-up supervisory activity is 
needed with the in-home aide or other allied health 
personnel to address any problems identified 
during the supervisory visit, follow-up will be 
provided directly by the supervising professional 
or referred to an appropriate professional or 
paraprofessional supervisor as specified i_n Para- 
graphs (a) and (b) jn this Rule. 

(e) An appropriate professional conducting 
supervisory visits for the in-home aide or other 
allied health personnel may simultaneously conduct 
the quarterly case review as required m Rule .1201 
(c) of this Subchapter. 

fd->(f) Documentation of supervisory visits shall 
be maintained in the agency's records. 

fe-t(g) The home care agency must have continu- 
ous supervision available, on-site where services 
are provided when necessary, during the hours that 
in-home aide or other allied health services are 
provided. 



the services, a home care health professional shall 
notify the physician of changes in the client's 
condition which indicate the need for altering the 
plan of care or for terminating services. Based 
upon the findings of the client assessment, the plan 
of care shall include as a minimum: 

(1) type of service(s) required; 

(2) frequency of visits or hours of service; 

(3) activity restrictions; 

(4) safety measures; and 

(5) service objectives and goals. 

(b) Where applicable, the plan of care includes, 
but is not limited to: 

(1) equipment required; 

(2) functional limitations; 

(3) rehabilitation potential; 

(4) diet and nutritional needs; 

(5) medications and treatments; 

(6) specific therapies: 

(7) pertinent diagnoses; and 

(8) prognosis. 

(c) So long as ongoing hands-on care is being 
provided to a client, a registered nurse, social 
worker or other appropriate professional shall visit 
the client in his residence at least quarterly to 
acc e s s assess the client's general condition, prog- 
ress and response to services provided. Documen- 
tation of these visits shall be maintained in the 
client's service record. 

(d) If the same professional is assigned responsi- 
bility for two or more of the following, these 
functions may be conducted during the same home 
visit: 

(1) quarterly assessment of client's condi- 
tion and response; 

(2) provision of regularly scheduled profes- 
sional services; or 

(3) supervision of in-home aide or other 
allied health personnel. 

Statutory Authority G.S. 131E-140. 



Statutory- Authority G.S. 13 IE- 140. 



A A >; & £: 



^^j^^ys^^:^:^:^ 



SECTION .1200 - CASE REVIEW 
AND PLAN OF CARE 

.1202 CASE REVIEW AND PLAN 
OF CARE 

(a) The plan of care is established in collabora- 
tion with the client and incorporated in the service 
record. The plan of care must be reviewed at least 
ever}' three months by the appropriate agency 
professional and revised as needed based on the 
client's needs. If physician orders are needed for 



1\ otice is hereby given in accordance with G.S. 
150B-21.2 that the Social Services Commission 
intends to amend rules cited as 10 NCAC 3J 
.3302. 3420. .3425. 

1 he proposed effective date of this action is June 
1. 1993. 

1 he public hearing will be conducted at 10:00 



2419 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



a.m. on March 3, 1993 at the Albemarle Building, 
Room 943-J, 325 N. Salisbury Street, Raleigh, NC 
27603. 

Reason for Proposed Action: To amend rules to 
incorporate changes recommended by the Jail 
Standards Task Force. 

Csomment Procedures: Comments may be pre- 
sented in writing any time before or at the public 
hearing or orally at the hearing. Time limits for 
oral remarks may be imposed by the Commission 
Chairman. Any person may request copies of 
these Rules by calling or writing to Don Bowen, 
Division of Social Services, 325 N. Salisbury St. , 
Raleigh. NC 27603 (919) 733-3055. 

CHAPTER 3 - FACILITY SERVICES 

SUBCHAPTER 3J - THE OPERATION OF 
LOCAL CONFINEMENT FACILITIES 

SECTION .3300 - REPORTS 

.3302 REPORT OF DEATH 

The report of an inmate death required by G.S. 
I53A-225 shall be submitted to the Branch within 
five days . 

Statutory Authority G.S. 153A-221. 

SECTION .3400 - STANDARDS FOR NEW 
JAIL DESIGN AND CONSTRUCTION 

.3420 ADDITIONAL SECURITY REQ/ "INST 
OCCUPANCY-RESTRAINED" JAILS 

Each jail that is required to meet the "Institution- 
al Occupancy - Restrained" requirements of the 
North Carolina State Building Code shall also meet 
the following security requirements: 

( 1 ) Each jail shall have a separate entrance 
for inmates, and all entrances to the jail 
shall be controlled and visually and audi- 
bly monitored. 

(2) Each jail shall have security perimeter 
walls that are provided with a separate 
and complete security vestibule, sally 
port, security window, security door, or 
other security device at each wall open- 
ing. 

(3) Clothing or towel hooks shall not be 
used. 



Statutory Authority G.S. 153A-221. 

.3425 STANDARDS FOR DAYROOMS 

Each dayroom shall have: 

(1) a separate and complete security vestibule 
at its entrance; 

(2) a minimum floor space of 105 square feet 
or 35 square feet per inmate, whichever 
is greater; 

(3) sufficient seating afid — tabl e s — for e ach 
inmat e for the capacity of the unit ; 

(4) sufficient table space for the capacity of 
the unit unless each inmate has unrestrict- 
ed access to a cell with a table and chair, 
in which case the dayroom shall have 
sufficient table space for 70 percent of 
the capacity of the unit; 

(5) {A) a telephone jack or other telephone 
arrangement provided within the 
dayroom; 

(6) {§) a way for officers to observe the 
entire area; and 

(7) {&) one toilet per eight inmates unless 
the inmates have unrestricted access to a 
cell with a toilet, sink, drinking fountain 
and security mirror. 

Statutory Authority G.S. 153A-221. 

ISotice is hereby given in accordance with G.S. 
150B-21.2 that the Social Services 
Commission/Division of Social Services intends to 
amend rules cited as 10 NCAC 41 E .0504, .0506. 
.0511, .0514, .0603: 41 G .0507, .0705, .0707; 
411 .0102 - .0103, .0303 - .0308, .0401 - .0402, 
,0409 - .0410; 41 Q .0201; and repeal rules cited 
as 10 NCAC 411 .0201 - .0202, .0204. 

1 he proposed effective date of this action is July 
1, 1993. 

1 he public hearing will be conducted at 10:00 
a.m. on March 3, 1993 at the Albemarle Building, 
Room 943-J, 325 N. Salisbury Street, Raleigh, 
N.C 

Reason for Proposed Action: 

10 NCAC 41 E .0504, .0506, .0511, .0514, .0603; 
41 G . 0507, . 0705. . 0707; 41 Q . 0201 - Tlwse Rules 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2420 



PROPOSED RULES 



are being proposed for amendment to be in 
compliance with Title VI of the Civil Rights Act, 
Section 504 of the Rehabilitation Act of 1973 and 
the Americans with Disabilities Act of 1990 to 
prohibit discrimination in hiring, staff with 
communicable diseases. Additionally, facilities 
would be required to routinely apply infection 
control procedures which include universal 
precautions specified by the Centers for Disease 
Control. 

10 NCA C 411 .0102- . 0103. . 0303 - . 0308. . 0401 
- .0402. .0409 - .0410 - These Rules are being 
proposed for amendment in order to enhance the 
quality and consistency of child protective services 
throughout the State. The amended rules specify 
that reports of dependency shall be accepted and 
investigated. Requirements for the completion of 
a thorough investigation and for the provisional 
services are strengthened. A structured risk 
assessment is required for substantiated cases. 
Portions of some existing rules are moved and 
rearranged so that the content is better organized. 

10 NCAC 411 .0201 - .0202, .0204 - These Rules 
are being proposed for repeal because they do not 
pertain to screening, investigation, and treatment 
in child protective services. Similar requirements 
are contained in child care licensing regulations, 
and these requirements do not impact on the 
provision of child protective services. 

i^omment Procedures: Comments may be 
presented in writing anytime before or at the 
public hearing or orally at the hearing. Time 
limits for oral remarks may be imposed by the 
Commission Chairman. Any person may request 
copies of these Rules by calling or writing to Don 
Bowen. Division of Social Services, 325 N. 
Salisbury St. , Raleigh, NC 27603, (919) 733-3055. 

tiiditor's Note: The italic text shown in 10 NCAC 
41 E .0514 are amendments proposed in the 
Register , Volume 7, Issue 15. Tlie Social Services 
Commission took action on this Rule at their 
December 1992 meeting; however, the rule will not 
be before the Rules Review Commission until 
January 1993. 

CHAPTER 41 - CHILDREN'S SERVICES 

SUBCHAPTER 41E - LICENSING OF 
GROUP HOMES FOR CHILDREN 



SECTION .0500 - MINIMUM STANDARDS 

FOR PRIVATE AND PUBLIC GROUP 

HOMES 

.0504 STAFF 

(a) Executive Director. 

(1) Qualifications 

(A) The executive director shall have 
ability as an administrator and the 
training and experience that qualifies 
him for his job responsibilities; 

(B) The executive director shall be at least 
21 years of age. 

(2) Functions. The executive director shall 
be responsible for the general manage- 
ment and administration of the agency 
in accordance with licensing require- 
ments and policies of the governing 
body. The functions of the Director or 
his designee shall include but not be 
limited to the following: 

(A) Interpretation of licensing standards 
and established child care standards to 
the board; 

(B) Initiating and carrying out a sound 
program of residential child care in 
accordance with established standards 
and as approved by the board of 
directors; 

(C) Preparing the group home budget with 
the assistance of those of his staff 
whose responsibilities or abilities 
qualify them to help; 

(D) Presenting the budget to the board or 
governing authority for approval; 

(E) Employing and discharging all mem- 
bers of his staff; 

(F) Holding staff meetings at regular 
intervals and discussing plans and 
policies with his staff; 

(G) Organizing and promoting a program 
of education for the continued training 
and development of the staff; 

(H) Supervision of the group home staff; 

(I) Conducting with each staff member 
an annual evaluation regarding his job 
performance. A written copy of each 
evaluation shall be kept on file; 

(J) Establishing and maintaining good 
working relationships with other 
social services agencies in the com- 
munity, and assuming responsibility 
for the interpretation of the home's 
program; 



2421 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



(K) Administration, admissions and dis- 
charges of children and the child care 
program with such delegation of 
actual work in these areas as is appro- 
priate. 

(b) Professional Services Staff. 

(1) Each group home shall have available 
those professional services which assure 
quality care for children and provide 
planning services with their families, 
including the following: 

(A) doctors, 

(B) dentists, 

(C) nurses, 

(D) social workers, 

(E) psychologists, 

(F) psychiatrists, 

(G) nutritionists, 

(H) recreation workers, 
(I) teachers. 

(2) Services may be purchased on an indi- 
vidual basis or provided by members of 
the home staff, or obtained through 
public or private programs. 

(3) Professional workers shall have those 
special qualifications that enable them 
to work with children. 

(c) Child Care Staff, Counselors, Teaching 
Parents or Houseparents. 

(1) Qualifications 

(A) shall be at least 18 years old; 

(B) shall be mentally and physically fit as 
evidenced by the following: 

(i) a physical examination completed 
by a physician, physician's assis- 
tant, or nurse practitioner hereaf- 
ter referred to as "licensed medi- 
cal provider", prior to assuming 
the position and every other year 
thereafter^ , at th e tim e of relic e ns 
iftgr The eest costs of physical 
examinations which are required 
for continuing employment are to 
be paid by the group home; 

(ii) a health questionnaire completed 
by the individual staff on each 
year when a physical examination 
is not required; 

(iii) a TB skin test prior to assuming 
the position, and annually thereaf- 
ter at th e — twee — of relioensing , 
except when the physician, 
physician's — assistant — &e — nurse 
practition e r licensed medical 
provider advises against it; 



(C) shall have education, training and 
experience sufficient to equip them 
for the duties assigned; 

(D) shall not be persons who have been 
found to have neglected or abused a 
child by any agency duly authorized 
by law to investigate allegations of 
abuse or neglect. 

(2) Duties 

(A) shall have responsibility for the day to 
day activities of the home and care of 
the children. 

(B) shall assume those duties assigned 
them in accordance with any 
specialized program of the home. 

(d) Clerical Staff. Each home shall have 
adequate clerical services to keep correspondence, 
records, bookkeeping and files current and in good 
order. 

Statutory Authority G.S. 13 ID- 10. 5; 143B-153. 

.0506 SOCIAL SERVICES: ADMISSIONS: 
POLICIES: PROCEDURES 

(a) Admission policies shall be clearly defined in 
writing and shall be reviewed annually and 
changed as needs and conditions in the community 
change. 

(b) Admission procedures shall be in keeping 
with the stated policies of the group home, and 
admissions shall be limited to those children for 
whom the home is qualified by staff, program, 
facilities, and services to give adequate care. 

(c) In group homes other than shelter homes, the 
following information and materials shall be 
obtained prior to admission: 

(1) Verification that the person making 
application for placement has the 
authority to do so; 

(2) A completed application for services 
signed by the parents, legal custodian 
or agency with the authority to place 
the child; 

(3) A social summary which includes 
background information on the child, 
his family, his presenting problems and 
current circumstances which will enable 
the group home staff to determine if the 
child's needs are consistent with the 
home's program of care; 

(4) A written placement agreement signed 
by authorized persons which includes 
the services to be provided by the 
group home, and the responsibilities of 
the parents and legal custodian. 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2422 



PROPOSED RULES 



indicating who will be responsible for 
the child's financial and medical needs, 
fees to be paid, consent for emergency 
medical treatment, length of stay, 
visitation expectations and limitations 
between the child and his family, and 
the schedule of review conferences; 
(5) Documentation of a physical 
examination as specified in Rule 
.0514(a)(1) of this Subchapter. 

(d) In a group home that has a written 
agreement with a department of social services to 
provide residential child care exclusively for 
children for whom that department of social 
services has placement authority, the group home 
or department of social services must comply with 
all provisions of Paragraph (c) of this Rule. 
Specific responsibilities for social services in 
Paragraph (c) of this Rule shall be defined in the 
written agreement. 

(e) In shelter homes the following information 
and materials shall be obtained; 

(1) Determination of custody within 72 
hours of admission with the legal 
custodian participating in the admission 
procedure; 

(2) A written consent for placement signed 
by the legal custodian within 72 hours 
after admission; 

(3) A social summary which includes 
background information on the child, 
his family, his presenting problems, and 
current circumstances within two weeks 
of admission; 

(4) Documentation of a physical as 
specified in Rule .0514(a)(1) of this 
Subchapter within on e w ee k two weeks 
of admission. 

(f) In a shelter home that has a written 
agreement with a department of social services to 
provide residential child care exclusively for 
children for whom the Department of social 
services has placement authority, the shelter home 
or department of social services must comply with 
all provisions of Paragraph (e) of this Rule. 
Specific responsibilities for social services in 
Paragraph (e) of this Rule shall be defined in the 
written agreement. 

(g) In group homes other than shelter homes, a 
written plan of care for each child shall be 
developed at the time of admission, and reviewed 
at least semiannually by the group home staff, 
parents, and legal custodian and the child, when 
appropriate. In shelter homes the written plan of 
care shall be developed within 72 hours of 



admission and reviewed every other week by the 
group home staff, parents and legal custodian, and 
the child, when appropriate. This plan of care 
shall include: 

( 1 ) The expectations and goals to be 
reached by the child while in care; 

(2) The tasks and activities of the group 
home staff to meet the needs of the 
child while in care; 

(3) The tasks and activities of the parents 
and legal custodian to meet the needs of 
the child while in care. 

Statutory Authority G.S. 131D-10.5; 143B-153. 

.0511 SOCIAL SERVICES: RECORDS AND 
REPORTS 

(a) Child's Case Record. 

(1) In group homes other than shelter 
homes a complete and confidential case 
record shall be maintained which shall 
contain the following: 

(A) Documentation of placement 
authority; 

(B) Social summary; 

(C) Completed application for services; 

(D) Written placement agreement; 

(E) Written plan of care including the 
semiannual reviews; 

(F) Documentation that verifies the 
child's birth; 

(G) Preadmission physical examination, 
and any subsequent medical 
information such as hospitalizations, 
significant illnesses. dental 
examinations, etc.; 

(H) Immunization record (this record must 
be obtained within 30 days of a 
child's admission to the home); 

(I) A discharge summary with the date 
and circumstances of discharge. 

(2) In a group home that has a written 
agreement with a department of social 
services to provide residential child 
care exclusively for children for whom 
the Department of social services has 
placement authority, specific 
responsibilities for children's records in 
Subparagraph (a)(1) of this Rule must 
be identified in the written agreement. 

(3) In shelter homes, a confidential case 
record shall be maintained which shall 
contain the following: 

(A) A written plan of care developed 
within 72 hours of admission; 



2423 



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NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



(B) Placement consent, signed by the 
person or agency with placement 
authority within 72 hours of a child's 
admission; 

(C) Report of the medical examination if 
a child remains in care longer than 
one week two weeks ; 

(D) Social summary, with information 
indicating that the group home's 
program of care is appropriate if the 
child remains in care longer than two 
weeks. 

(4) In a shelter home that has a written 
agreement with a department of social 
services to provide residential child 
care exclusively for children for whom 
the Department of social services has 
placement authority specific 
responsibilities for children's records in 
Subparagraph (a)(3) of this Rule must 
be identified in the written agreement, 
(b) Shelter Log. In shelter homes, a log shall 

be maintained that lists at a minimum the 

following: 

(1) child's name, age, sex. and race; 

(2) legally responsible parent, relative, or 
agency representative's name and 
telephone number; 

(3) date of admission; 

(4) date of discharge. 

(c) Staff Medical Reports. (4-> A medical report 
shall be completed bi annually prior to 
employment and every other year thereafter and 
maintained on each full and part-time child caring 
staff, any relatives residing in the home, and any 
person responsible for preparing or serving food in 
the home. 

(2) Staff — hired — sh&ti — have — a — physical 

examination compl e ted by n physician, 

physician' s; assistant e-n nurs e 

practition e r prior to e mploym e nt and a 
now examination biannually th e r e aft e r. 
A copy of th e phy s ical e xamination 
sftftH — be — submitt e d — te — the — lic e nsing 
authority — wh e n — the — staff chang e or 
addition tak e s plac e , and bi annually 
th e r e aft e r, at th e tim e of r e lic e n s ing. 

0} H e alth qu e stionnaire shall be submitt e d 

to th e lic e nsing authority e ach y e ar 

wh e n th e phy s ical e xamination i s not 

r e quir e d. 

(d) Annual Report. Each group home shall 

submit an annual statistical report as required by 

the Department to the licensing authority within 60 

days after the end of the program's fiscal year. 



Statutory Authority G.S. 131D-W.5; 143B-153. 

. 05 1 4 CHILD CARE AND DEVELOPMENT: 
HEALTH 

(a) Medical Program. Every group home shall 
have a planned program of medical care. 

(1) Medical Requirements for Admission. 

(A) No child shall be accepted into a 
group home without having had a 
physical examination within 90 days 
prior to admission, which shall 
include a signed statement hy — a 
physician . — physician 's — assistant or 
nurse — practitioner — that — the — child 
appears to he free of communicable 
diseases, and specifying any medical 
conditions and defects the child might 
have. from a licensed medical 
provider specifying the child's current 
medical condition and medications 
prescribed and indicating the presence 
of any communicable disease or 
medical condition which max pose a 
significant risk of transmission m the 
facility. If a child is in the custody of 
a department of social services, is 
already scheduled to have and is 
having a physical completed annually, 
and is entering a private group home, 
the schedule of annual physicals shall 
not be changed. However a copy of 
the most recent physical shall be sent 
by the responsible department of 
social services to the private group 
home for the child's record there 
except that in shelter homes, the 
physical examination and statement 
shall be obtained within on e w e ek two 
weeks of a child's admission. 

{A) — Tlie medical examination shall include 
a tuberculin test (or x ray if there has 
been — a — history — of — contacts). — an 
examination for intestinal parasites, 
and a blood test for venereal disease 
if indicated. 

fBj — If these tests prove positive, treatment 
shall — he — given — immediately. — and 
admission to the home delaxed until 
further tests show the child to be 
noninfectious. 

(B) fGj A child admitted to a group 
home shall be immunized against 
diphtheria, tetanus, whooping cough, 
poliomyelitis, red measles (rubeola), 
and rubella^ mumps, and any other 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2424 



PROPOSED RULES 



disease as required by 15A NCAC 
19A .0400. prior to admission, or as 
soon after as practical. 
Documentation of these 
immunizations shall be obtained 
within 30 days of a child's admission. 
A co^y of 15A NCAC 19A .0400 
may be obtained from the Office of 
Administrative Hearings. P.O. 
Drawer 27447, Raleigh, North 
Carolina. (919) 733-2678, at a cost of 
two dollars and fifty cents ($2.50) at 
the time of adoption of this Rule. 

(2) Medical Care. Arrangements shall be 
made with at least one licensed 
physician and one dentist for the care of 
children in the home. 

(3) Hospital Care. Arrangements shall be 
made with a hospital for the admission 
of children from the group home in the 
event of serious illness or in an 
emergency. 

(4) First Aid. 

(A) Houseparents shall receive training 
and be able to administer first aid. 

(B) First aid kits shall be available for 
instant use. 

(5) Home Medical Care Practices. 

(A) Group homes shall not engage in any 
medical care practices that conflict 
with the control measures for 
communicable diseases j_n 15A NCAC 
19A .0200. A copy of 15A NCAC 
19A .0200 may be obtained from the 
Office of Administrative Hearings. 
P.O. Drawer 27447. Raleigh. North 
Carolina. (919) 733-2678. at a cost of 
two dollars and fifty cents ($2.50) at 
the time of adoption of this Rule. 

(B) {A) Houseparents shall be able to 
recognize the common symptoms of 
illnesses of children and to note any 
marked physical or emotional 
handicaps of children. 
fB-) A sterile clinical thermometer 
shall be kept available for use. 
No m e dication s hall b e giv e n e xc e pt 



L£l 
<€> 
(D) 



und e r th e dir e ction of a phy s ician. 
Medicine supply cabinets shall be kept 
locked when not in immediate use. 
(6) Medical Records. Each child shall 
have a personal medical record 
available which shall include: 
(A) the statement of the physician who 
examined him at the time of 



admission to the home: 

(B) a record of his immunizations; this 
record shall be obtained within 30 
days of a child's admission to the 
home; 

(C) consent of parents or guardians for 
medical care; 

(D) a record of the medical care and 
examinations given while in care, 
including a record of hospitalizations, 
significant illnesses or accidents, and 
treatment given. 

(7) Dental Records. Included in a child's 

medical record shall be a dental record, 

showing dates of examinations and by 

whom given. 

(b) Routine Aspects of Health. Personal 

Hygiene, and Safety. 

( 1 ) Staff shall routinely apply general 
infection control procedures which shall 
include but not be limited to universal 
precautions specified by the Centers for 
Disease Control. U.S. Department of 
Health and Human Services. Public 
Health Services. Atlanta. Georgia. A 
copy of general infection control 
procedures may be obtained from 
National Technical Information 
Services. 5285 Part Royal Road. 
Springfield, Virginia 22161, (703) 
487-4650, at a cost of seven dollars 
($7.00) at the time of the adoption of 
this Rule. 

(2) f4-> Sleep. Each child in a group home 
shall have enough sleep for his age at 
regular and reasonable hours and under 
conditions conducive to rest. While 
children are asleep, at least one staff 
member shall be near enough to hear 
calls. 

(3) f2-> Hygiene. Children shall be taught 
and helped to keep themselves clean. 
They shall receive training in all 
aspects of personal hygiene. Bathing 
and toilet facilities shall be in working 
order and kept clean. 

£4) (3) Toilet Articles. 

(A) Each child shall have his own clearly 
identified toothbrush, comb, towel 
and wash cloth and his own separate 
place for keeping these personal 
articles. 

(B) Towels, wash cloths, and bed linens 
shall be changed weekly or more 
often as required by good hygiene. 



2425 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



(5) f4) Safety. Any child care staff 
transporting a child less than two years 
of age shall have such child properly 
secured in a child passenger restraint 
system which is of a type and which is 
installed in a manner approved by the 
Commissioner of Motor Vehicles. 
(c) Nutrition. 

( 1 ) Meals served to all children shall 
provide for their nutritional 
requirements as advised by the National 
Research Council (Recommended Daily 
Dietary Allowances). 

(2) Any modified food needs of an 
individual child shall be provided under 
the direction of a physician licensed 
medical provider . 

(3) The menus shall be planned by or in 
consultation with a registered 
nutritionist or dietitian. 

Statutory Authority G.S. J3ID-W.5; 143B-153. 

SECTION .0600 - MINIMUM STANDARDS 

FOR PRIVATE AND PUBLIC AGENCY 

GROUP HOMES 

.0603 STAFF 

(a) There shall be a responsible staff person 
designated as supervisor of the group home staff 
and operation. 

(b) Child Care Staff. Counselors, Teaching 
Parents, or Houseparents. 

( 1 ) Qualifications 

(A) shall be at least 18 years of age; 

(B) shall be mentally and physically fit as 
evidenced by the following: 

(i) a physical examination completed 

by a physician, physician's 

assistant — er — nurs e — practition e r 
licensed medical provider , prior 
to assuming the position and 
every other year thereafter , at th e 
time of relicensing ; Th e cost the 
costs of physical examinations 
which are required for continuing 
employment are to be paid by the 
group home; 

(ii) a health questionnaire completed 
by the individual staff on each 
year when a physical examination 
is not required; 

(iii) a TB skin test prior to assuming 
the position, and annually 
thereafter at the twne ef 



r e lic e nsing, except when the 
physician, phy s ician's assistant or 
nurs e practition e r licensed medical 
provider advises against it; 

(C) shall have education, training and 
experience sufficient to equip them 
for the duties assigned; 

(D) shall not be persons who have been 
found to have neglected or abused a 
child by any agency duly authorized 
by law to investigate allegations of 
abuse or neglect. 

(2) Duties 

(A) shall have responsibility for the day to 
day activities of the home and care of 
the children; 

(B) shall assume those duties assigned 
them in accordance with any 
specialized program of the hornets 

Statutory Authority G.S. 131D-10.5; 143B-153. 

SUBCHAPTER 41 G - MINIMUM 

STANDARDS FOR CHILD CARING 

INSTITUTIONS 

SECTION .0500 - PRIVATE INSTITUTION 
ORGANIZATION AND ADMINISTRATION 

.0507 STAFF: GENERAL 

The institution shall provide the staff and 
services necessary to insure the proper care and 
safety of children in care of th e i n s titution . Staff 
members who liv e with provide direct care for 
children in car e of the institution or prepare their 
food shall have a h e alth physical examination 
completed by a physician, physician's assistant, or 
nurse practitioner, hereafter referred to as 
"licensed medical provider", within at least six 
months before beginning work and biennially 
thereafter. A TB skin test is required prior to 
assuming the position and annually thereafter, 
except when the licensed medical provider advises 
against it Such e xaminations Examinations shall 
include tests necessary to determine that the staff 
member is fr ee from communicabl e diseas e s and 
able to carry out assigned duties and does not have 
any communicable disease or condition which 



poses significant risk of transmission in the 
facility . 

Statutory Authority G.S. 131D-10.5; 143B-153. 

SECTION .0700 - PRIVATE INSTITUTION 
CHILD CARE AND DEVELOPMENT 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2426 



PROPOSED RULES 



.0705 MEDICAL PROGRAM 

The institution shall have a planned program of 
medical care which shall be implemented and 
include each child in care: 

(1) Admission Requirement. Each child 
shall have had a medical examination 
prior to admission. The examination 
shall be reported in writing and specify 
any condition , or defect the child might 
have and any medications prescribed. 

(2) Medical Care 

(a) Arrangements shall be made with one 
or more licensed medical physicians or 
medical clinics for the medical care of 
the children. 

(b) Each child shall have a physical 
examination at least once a year and 
more often as needed. A child shall not 
be allowed to participate in activities 
injurious to his health. Any illness, 
disease or defect medical condition of a 
child shall be identified and treated 
promptly through proper medical care. 
Children shall have psychiatric or 
psychological examination or both when 
indicated and treatment when indicated. 

(c) The child care staff shall be instructed 
as to what medical care may be given 
by them without specific orders from a 
licensed medical physician provider . 
They shall be instructed as to how and 
when to obtain further care and how to 
handle emergencies. 

(3) Hospital Care. Arrangements shall be 
made with a hospital for the admission of 
children from the institution in the event 
of serious illness or emergency. 

(4) First Aid. At least one member of the 
child care staff on duty at any given time 
shall have taken a course in first aid 
given by a qualified instructor and be 
able to administer first aid. First aid kits 
shall be available. 

(5) Home Health Care 

(a) The institution shall not engage in any 
home health care practices that conflict 
with the control measures for 
communicable diseases in I5A NCAC 



19A .0200. A copy of _[5A NCAC 
19 A .0200 may be obtained from the 
Office of Administrative Hearings, P.O. 
Drawer 27447, Raleigh, North 
Carolina, (919) 733-2678, at a cost of 
two dollars and fifty cents ($2.50) at 



the time of adoption of this Rule. 

(b) (a) Each member of the child care staff 
shall be able to recognize common 
symptoms of illnesses and disturbanc e s 
in children and to not e any defects . 
The child care staff shall be alert to any 
infectious condition of the children and 
shall take proper precautions to prevent 
the spread of such condition. 

(c) (b) The child care staff shall be able to 
provide home nursing care. A sterile 
clinical thermometer shall be kept 
available for use. Arrangements When 
appropriate, arrangements shall be 
made for isolation and appropriate 
attendant care of a child with a 
communicable disease. 

(d) {ej Pr e scription drugs shall only b e 
administ e r e d — wh e n — approv e d — by — a 
lic e n se d m e dical physician. Medicines 
shall be stored in a separate cabinet, 
closet or box not accessible to children. 

(6) Medical Records. Each child shall have 
a personal medical record which shall 
include the report of the physician who 
examined him prior to admission to the 
institution, a record of his immuniza- 
tions, consent for medical care signed by 
the person or representative of the agency 
having legal custody of the child, a 
record of each physical examination and 
of medical care given while the child is 
in care. The latter shall include a record 
of hospitalizations, allergies, significant 
illnesses or accidents and treatment 
given. 

Statutory Authority G.S. 131D-10.5; 143B-153. 

.0707 ROUTINE HEALTH CARE AND 
PERSONAL HYGIENE 

(a) Staff shall routinely apply general infection 
control procedures which shall include but not be 
limited to universal precautions specified by the 
Centers for Disease Control, U.S. Department of 
Health and Human Services, Public Health 
Services, Atlanta, Georgia. 

(b) {ft) Children shall be taught and helped to 
develop good health care. Each child shall have 
enough sleep for his age at regular and reasonable 
hours and under conditions conducive to rest. 

(c) {&) Children shall receive training in all 
aspects of personal hygiene. They shall be taught 
and helped to keep themselves. 

(d) fe) Each child shall have his own clearly 



2427 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



identified toothbrush, comb, towel and wash cloth 
and his own separate place for keeping these 
personal articles. Towels, face cloths, and bed 
linens shall be changed as frequently as necessary 
to be clean. 

Statutory Authority G.S. UlD.Art. I A: 143B-153. 

SUBCHAPTER 411 - PROTECTIVE 
SERVICES 

SECTION .0100 - GENERAL 

.0102 CONFIDENTIALITY: CENTRAL 

REGISTRY: ABUSE AND NEGLECT 
CASES 

(a) Information submitted by county departments 
of social services to the central registry of abuse 
and neglect cases is confidential. Non-identifying 
statistical information and general information 
about the scope, nature and extent of the child 
abuse and neglect problem in North Carolina is not 
subject to this Rule of confidentiality. 

(b) Access to the central registry of child abuse 
and neglect cases is restricted to: 

(1) staff of the Division of Social Services 

and staff of the Office of the Secretary 

of the Department of Human Resources 

who require access in the course of 

performing duties pertinent to 

management, maintenance and 

evaluation of the central registry and 

evaluation of and research into abuse 

and neglect cases reported in 

accordance with G.S. Chapter 7A, 

Article 44. Management of the central 

registry includes the provision of 

information on a case by division staff 

to a North Carolina county department 

of social services or to an out-of-state 

social services agency to assure that 

protective services will be made 

available to such child and the child's 

family as quickly as possible to the end 

that such child will be protected and 

that further abuse or neglect will be 

prevented. 

(A) Individuals may receive approval to 

conduct studies of cases in the central 

registry. Such approval must be 

requested in writing to the Director, 

Division of Social Services. The 

written request will specify and be 

approved on the basis of: 

(i) an explanation of how the findings 



of the study have potential for 
expanding knowledge and 
improving professional practices 
in the area of prevention, 
identification and treatment of 
child abuse and neglect; 
(ii) a description of how the study 
will be conducted and how the 
findings will be used; 
(iii) a presentation of the individual's 
credentials in the area of critical 
investigation; and 
(iv) a description of how the 
individual will safeguard 
information. 
(B) Access will be denied when in the 
judgment of the Director the study 
will have minimal impact on either 
knowledge or practice. 

(2) the county director in order to identify 
whether a child who is the subject of an 
abuse i ef neglect or dependency 
investigation has been previously 
reported as abused or neglected, or 
whether a child is a member of a family 
in which a child fatality due to 
suspected abuse or neglect during the 
CPS investigative period has occurred 
in any county in the state. Information 
from the central registry shall be shared 
with law enforcement or licensed 
physicians or licensed physician 
extenders when needed to assist the 
county director in facilitating the 
provision of child protective services to 
assure that the child and the child's 
family will receive protective services 
as quickly as possible so that such child 
can be protected and further abuse,, ef 
neglect or dependency prevented. 
Information shared from the central 
registry for child abuse and neglect will 
be limited to: 

(A) the child's name, date of birth, sex, 
race; 

(B) the county that investigated the report; 

(C) the type of maltreatment that was 
reported; 

(D) the case decision; 

(E) the date of the case decision; 

(F) the type of maltreatment found; and 

(G) the relationship of the perpetrator to 
the victim child. 

(3) the Chief Medical Examiner's office 
and law enforcement in the event of 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2428 



PROPOSED RULES 



child fatality and there is a need to 
determine if their investigation or 
evaluation should consider child abuse^ 
ef neglect or dependency as a factor in 
the death. Information will be limited 
to that outlined in Subparagraphs 
(b)(2)(A) - (G) of this Rule. 

Statutory Authority G.S. 7A-544; 7A-552; 7A-675: 
143B-10; 143B-153. 

.0103 REPORTS OF NEGLECT, ABUSE 
OR DEPENDENCY 

Reports of neglect aae abuse or dependency 
allegedly caused by staff of one county department 
of social services shall be referred to another 
department of social services for investigation. 

Statutory Authority G.S. 143B-153. 

SECTION .0200 - E>DZRGENCY SHELTER 

.0201 NATURE AND PURPOSE 

Em e rg e ncy sh e lter is th e provi s ion of s hort t e rm 
(i.e.. no mor e than 30 days of car e for any child 
in any 12 month period). 2 4 hour care for a child, 
in cl e ar and pr es ent dang e r from negl e ct, abus e or 
e xploitation, wh e n s e paration from th e child's own 
familv is e ss e ntial and e merg e ncy sh e lt e r is int e 



e m e rg e ncy shelter. 



gral 



-te — fee — child's — &wa — need — fef — prot e ction. 
Emerg e ncy sh e lt e r may also b e provid e d to run 
aways harm e d or thr e atened with harm by virtu e 
of th e ir status as runaways. 

Statutory Authority G.S. 7 A, Article 46; 143B-153. 

.0202 PROCEDURES FOR THE USE OF 
EMERGENCY SHELTER 

fa-» — Admissions 

*A-\ The sp e cific n ee d for e m e rg e ncy s h e lt e r 

as a part of th e provi s ion of prot e ctiv e 



St be 



ibed 



-the 



child's — ease — r e cord — by — the — county 
d e partm e nt of social s e rv i c es . Th e ca se 
r e cord shall d e scrib e th e circumstanc e s 
which — lead — the — prot e ctiv e — s e rvic e s 
work e r to b e li e v e that th e child is in 
cl e ar and pr e s e nt dang e r from neglect, 
abu se , or e xploitation as w e ll as the 
l e gal authority through which us e of 
e m e rg e ncy s h e lt e r i s mad e . — Th e n ee d 
fef — and — circumstanc e s — surrounding 
e m e rgency shelt e r must b e d e scrib e d in 
the — child's — ease — record — prior to — ef 
imm e diat e ly following b e ginning us e of 



(3)- 



Criteria 



-det 



e t e rmining 



4h 



sh e lt e r — is — an — appropriate 



e m e rgency 
s e rvic e : 

<-A-> — wh e n a child's physical or emotional 
h e alth are in clear and present dang e r 
of harm and no other plan of s e rvice 
is mor e appropriate for his prot e ction: 

f&j — wh e n a child has b ee n abandoned by 
h+s — par e nts — aed — He — other — family 
m e mb e r s — are — able — te — provid e — the 
t e mporary car e n e ed e d while a plan of 
s e rvic e is b e ing d e v e loped: 



f€n — wh e n — family — ere 



?h — as d e ath. 



d e s e rtion 



j e r i o u s illn e ss 



n e c e ssitat e s — imm e diate. — t e mporary 
car e of th e child outside of his home 
for his prot e ction: 



fD-) — wh e n homemakor. day car e . 



the 



or otn e r 

se rvic e s to maintain a child in his own 

hom e ar e unavailable or inappropriat e 

and the child ne e ds prot e ction. 

fb) — Services to th e Child and Family. — Social 

work s e rvic e s for th e child and his family must b e 

provid e d — by- — the — county — d e partment — of social 

s e rvic e s r e sponsible for prot e ctiv e s e rvice s to th e 

child. — Ev e n wh e n e m e rg e ncy sh e lt e r is purchased 

by th e — D e partm e nt — from — another ag e ncy. — the 

county — d e partm e nt with r e sponsibility f-ef 

prot e ctiv e — s e rvic e s — te — the child — s hall — maintain 
r es pon s ibility — f-ef — ongoing — ease — management. 
e n s uring that th e obj e ctiv e s agr ee d upon in the 
se rvic e plan ar e m e t. and s e rvic e s coordination. 
Th e county d e partm e nt of social s e rvic e s providing 
prot e ctiv e — s e rvic es — te — the — child — shaH — as s um e 
responsibility to petition th e court. 
fe-) — Typ e of Facility. 

<4-t A family fost e r hom e , group home or 

child caring institution which is lic e ns e d 
ef — approv e d — as — m ee ting — licensing 

s tandards adopt e d bv — the Social 

S e rvic e s Commission. 10 NCAC. — H-E 



through 1 IG. 



-be — u se d — f-ef 



<3>- 



e m e rg e ncy shelter. 

A family fost e r hom e , group hom e or 

child caring institution asetl fef 



e m e rg e ncy — sh e lt e r — must — be 



-fehV 



approv e d as m ee ting standards sp e cifi e d 
in Rul e .020 4 of this Subchapt e r. 
fd-t — M e thod s of Servic e Provision. 

f4-) Em e rgency — sh e lt e r — ean — be — provid e d 

dir e ctly — by- — a — county — d e partment of 
s ocial s e rvic e s in an em e rg e ncy shelter 
facility — it op e rat e s: — or b e purchas e d 
from — afl — e m e rg e ncy — sh e lt e r — facility 



2429 



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February 1, 1993 



PROPOSED RULES 



sup e rvised by a oounty department of 
social s e rvic e s; or b e purchas e d from 
anoth e r public or privat e provid e r of 
e mergency sh e lt e r. 

(3) The — provision — of em e rgency — s h e lt e r 

includ es — th e provision of room — and 
board. 



m- 



Th e Social Servic e s Commission has 
establish e d — a — maximum — Fate — fef 



s h e lt e r. 



Information 



e m e rg e ncy 

r e garding — the maximum rate is 

contained in policy mat e rial issued by 
the — Division — and — is — availabl e — m 
accordanc e with 10 NCAC 35 A .0003. 

Statutory Authority G.S. 7 A, Article 46; 33-1.1; 
131D, Article 1A; 143B-153. 



.0204 STANDARDS FOR 

ADMINISTRATION AND 
ORGANIZATION 

{&) Caregivers. I-n — family — foster — hom e s 

providing em e rg e ncy sh e lt e r, a minimum of two 
caregivers must b e living in th e hom e , on e of 
whom is pr e s e nt in th e facility at all times. — Fef 
group care facilities providing e mergency sh e lt e r 
for 6 to 12 children, th e r e must b e two car e giv e rs 
on duty at the facility during waking hours and on e 
on duty and on e on call at night to provid e car e 
for th e childr e n. — Faciliti e s providing car e to mor e 
than — 12 childr e n in a living unit will — not b e 
approved as e merg e ncy sh e lt e r faciliti es , 
(b) Qualifications for Caregiv e rs 

ff) An e m e rgency sh e lt e r car e giv e r is an 

individual who i s at least 21 y e ars of 
ag e and not mor e than 60 y e ars of ag e . 
As th e physical and e motional d e mands 
ef- — providing — short t e rm — eare — for 



m- 



fright e ned, ups e t, negl e cted and abus e d 
childr e n ar e gr e at, car e giv e rs shall be 
sel e ct e d who ar e abl e to withstand such 
stress. — Car e giv e r s s hall be e motionally 
stabl e p e opl e with th e ability to tol e rate 
fr e qu e nt — int e rruptions — m — sch e dul e . 
Th e y s hall hav e d e monstrated skills in 
caring for th e physical and e motional 
needs — of childr e n — m — cri s is — and — be 
willing to acc e pt childr e n, at any tim e 
day or night, — possibly without prior 
notic e . — A plan must b e d e v e lop e d and 
impl e m e nted by th e provider ag e ncy 
wh e reby car e givers ar e giv e n acc e ss to 
information — about: — ba s ic — knowl e dg e 
about n e gl e ct and abu se of childr e n; 
n ee d s of childr e n in crisis; emergency 



s h e lt e r — staffs — rol e in th e — protective 
s e rvices compr e h e nsiv e plan to protect 
the — child; — d e v e lopm e ntal — s tag es — ef 
childr e n; — alt e rnatives — m — di s cipline; 
s om e — knowl e dge of first — aid-; — basic 

knowl e dg e about s e paration and 

plac e m e nt of childr e n. 
(c) Child Car e 

fB No corporal — punishment of children 

shall be u se d. 

f2-) Each — child — shaH — have — a — physical 

e xamination — within — 72- — hours — afte* 
admission unless th e child ha s had an 
e xamination — imm e diately — prior — te 
e m e rgency sh e lt e r placem e nt. 

f3} An em e rgency sh e lter facility shall not 

b e us e d for car e of a child if the 
D e partm e nt r e sponsibl e for prot e ctive 
se rvic e s to that child is mor e than one 
hour's — driving — di s tanc e — from — the 
facility. 
(d-) — Facility 

fB Family foster homes, group hom e s, and 

child — caring — institutions — providing 

e m e rg e ncy sh e lt e r shall hav e — a 

t e l e phon e in the home or living unit in 
which such car e is provid e d. 

f2) Transportation must b e availabl e at all 

0} 



tim e s for u se by car e giv e rs. 

Family fo s t e r hom e s and group care 



facilities providing e m e rg e ncy sh e lt e r 
may not provide car e for childr e n not 

r e c e iving e m e rg e ncy — s h e lt e r. Child 

caring institutions providing e m e rg e ncy 
sh e lt e r may not provid e car e within th e 
s am e cottag e or living unit for children 
not r e c e iving e m e rg e ncy sh e lt e r. 

{A) The — e merg e ncy — sh e lt e r — facility — mu s t 

maintain an e m e rg e ncy sh e lt e r log that 
will list at a minimum th e name of th e 



:hild. the 



cnild. tne name and phone number of 
th e prot e ctiv e s e rvic es work e r, the date 
of admi s sion and dat e of discharg e . 

(§) An emerg e ncy — sh e lt e r facility — which 

provides mor e than 30 con se cutiv e days 
of s h e lt e r for any child do e s so in 
violation of e mergency shelter standards 
and its status as an approv e d e mergency 
sh e lt e r facility is invalid. 

f&) Th e emerg e ncy sh e lt e r facility must be 

availabl e — for r e f e rral s on a 2 4 hour 
basis. 



Statutory Authority 
143B-153; 110-49. 



G.S. 110-119; 143B-10; 



7:21 



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February 1, 1993 



2430 



PROPOSED RULES 



SECTION .0300 - CHILD PROTECTIVE 
SERVICES: GENERAL 

.0303 DEFLNITIONS 

As used in this Subchapter, unless the context 

requires otherwise, the following terms shall have 

the meaning specified: 

i 1 ) "Abused child" means a person less than 

18 years of age as defined in G.S. 

7A-517(1). 

(2) "Neglected child" means a person less 
than 18 years of age as defined in G.S. 
7A-5 17(21). A neglected child is also a 
disabled infant with a life-threatening 
condition from whom appropriate 
nutrition, hydration or medication is 
being withheld; a neglected child is also 
a disabled infant under one year of age 
with a life threatening condition from 
whom medically indicated treatment, 
which in the treating physician's 
reasonable medical judgement would be 
most likely to be effective in ameliorating 
or correcting such life threatening 
conditions, is being withheld, unless in 
the treating physician's reasonable 
medical judgement any of the following 
conditions exist: 

(a) infant is chronically ill and irreversibly 
comatose: or 

(b) the provision of medical treatment 
would merely prolong dying, would not 
ameliorate or correct all of the life 
threatening conditions, or would 
otherwise be futile in terms of the 
survival of the infant; or 

(c) the provision of medical treatment 
would be virtually futile in terms of the 
survival of the infant and under the 
circumstances the treatment would be 
inhumane. 

The term "infant" means a child less 
than one year of age. The reference to 
less than one year of age shall not be 
construed to imply that treatment should 
be changed or discontinued when an 
infant reaches one year of age, or to 
affect or limit any other protection 
regarding medical neglect of children 
over one year of age. 

(3) "Dependent child" means a person less 
than 18 years of age as defined in G.S. 
7A-517M3). 

(4) "Report" means any oral or written 
communication to the county department 



of social services which provides 
information that the person or institution 
making the report suspects a child is 
abused^ ef neglected or dependent . 

(5) "Institution" means any public or private 
institution, facility, agency, group, 
organization, corporation or partnership 
employing. directing, assisting or 
providing its facilities to persons who. as 
a part of their usual responsibilities, give 
care or services to children less than 18 
years of age and any hospital or other 
health care facility providing treatment to 
infants with life threatening conditions. 

(6) "Complaint" means a "report" by a 
person or institution regarding a child 
who is alleged to be abused, neglected, 
or dependent. 

(7) "County director" means the county 
director of social services and any staff 
member to whom responsibility for 
protective services has been delegated by 
the Director. 

(8) "Investigation" means the assessment 
process by which sufficient information is 
gathered to determine whether protective 
services are required and what services 
would be most helpful to the child and 
the parents or other caretakers. 

Statutory Authority G.S. 143B-153; 7A-517; 
7A-543. 

.0304 RECEIVING INFORMATION: 
INITIATING PROMPT 
INVESTIGATIONS OF REPORTS 

(a) The county director shall receive and initiate 
an investigation on all reports of suspected child 
abuse,, ef neglect or dependency, including 
anonymous reports: 

(b) The county director shall make a diligent 
effort to obtain the following information from the 
person making the report: 

(1) the name and address of the parent, 
guardian or caretaker and the name of 
the alleged perpetrator; 

(2) the name and actual or approximate age 
of the child or children; 

(3) the nature and extent of the alleged 
neglect, abuse or dependency : 

(4) the present whereabouts of the child or 
children if not at the home address: 

(5) other information that the reporter has 
which might be helpful in establishing 
the need for protective serviceSi 



243 1 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



including the name, address and phone 

number of other individuals who may 

have information about the condition of 

the child or children ; 

(6) the name and address of the individual 

making the report. 

(c) When a county director receives a report eft of 

suspected abuse and decides that a law 

enforcement agency should be notified, the county 

director shall provide the law enforcement agency 

with the information obtained from the person 

making the report as outlined in (b)/JJ through 

(b)(5) of this Rule. The name and address of the 

individual making the report, included as (b) (6) of 

this Rule may be shared with law enforcement 

when this information js necessary for law 

enforcement to perform their duties as related to 

the report. 

(d) The county director shall promptly initiate 
an investigation of suspected abuse^ ef- neglect or 
dependency and in all cases shall initiate an 
investigation of suspected abuse within 24 hours 
after receiving a report and shall initiate an 
investigation of suspected neglect or dependency 
within 72 hours after receiving a report. Initiation 
of an investigation is defined as having face-to-face 
contact with the alleged victim child or children. 
If there is not such face-to-face contact within the 
prescribed time period, the case record shall 
contain documentation to explain why such contact 
was not made and what other steps were taken to 
assess the risk of harm to the child or children. 

fe) — Th e inv e stigation shall inc l ude a visit with 
th e child and to th e plac e wh e r e th e child r es id es . 

(e) When the director js unable to initiate the 
investigation within the prescribed time period, as 
indicated in {dj of this Rule, because the alleged 
victim child or children cannot be located, the 
director shall make diligent efforts to locate the 
alleged victim child or children until such efforts 
are successful or until the director concludes that 
the child or children cannot be located. Diligent 
efforts shall include, but not be limited to, visits to 
the child's or children's address at different times 
of the day and on different days. All efforts to 
locate the child or children shall be documented in 
the case record. 

(f) When abuse^ ef neglect or dependency is 
alleged to have occurred in an institution, in 
addition to obtaining information as described in 
(b) of this Rule, the county director shall initiate 
the investigation by contacting the individual who 
is administratively responsible for on-site operation 
of the institution and solicit the cooperation of the 
administration of the institution. 



(g) The county director must have an internal 
two level review, including at a minimum the 
worker and the worker's supervisor, prior to 
making a decision that information received does 
not constitute a report of abuse^ er- neglect or 
dependency . 

(h) The county director must establish a process 
by which the person providing this information 
may obtain a review of the agency's decision not 
to accept the information as a report of abuse! er- 
neglect or dependency . The process shall include: 

(1) informing the person providing the 
information that the agency will not 
conduct an investigation, the basis for 
that decision, and their right to and the 
procedures for obtaining such a review; 
and 

(2) designating the persons by whom and 
the manner in which such reviews will 
be conducted. 

Statutory Authority G.S. 7A-543; 7A-544; 
143B-153. 

.0305 CONDUCTING A THOROUGH 
INVESTIGATION 

(a) The county director shall make a thorough 
investigation to assess: 

(1) whether the specific environment in 
which the child or children is found 
meets the child's or children's need for 
care and protection; and 

(2) facts regarding the existence of abuse,,, 
er- neglect or dependency ; and 

(3) extent of abuse and neglect; and 

(4) risk of harm to and need for protection 
of the child or children . 

(b) When the county director receives a report 
of suspected abuse, neglect or dependency, the 
county director shall check the county agency's 
records and the North Carolina Central Registry of 
Child Abuse and Neglect Reports to ascertain if 
any previous reports of abuse or neglect have been 
made concerning the alleged victim child or 
children. 

(c) Face-to-face contact with other children 
residing in the home shall be made as soon as 
possible, but no later than seven working days 
after the initiation of the investigation, unless there 
[s documentation [n the case record to explain why 
such contact was not made. 

(d) There shall be a face-to-face interview with 
any parent or caretaker with whom the victim child 
or children reside, unless there js documentation |n 
the case record to explain why such an interview 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2432 



PROPOSED RULES 



was not conducted. When possible, the parent or 
caretaker shall be interviewed on the same day as 
the victim child or children. 

(e) The investigation shall include a visit to the 
place where the child or children reside. 

(f) There shall be a face-to-face interview with 
the alleged perpetrator or perpetrators unless there 
is documentation to explain why such an interview 
was not conducted. 

(g) Any available persons identified at the time 
the report was accepted for investigation as having 
information concerning the condition of the child 
or children shall be interviewed in order to obtain 
any information relevant to the investigation. 

(h) When additional information [s necessary to 
complete a thorough investigation, information 
from the following sources shall be obtained and 
utilized: 

(1) Professionals or staff at an out-of-home 
care setting having relevant knowledge 
pertaining to the alleged abuse, neglect 
or dependency; 

Other persons living in the household 
or attending or residing In the out-of- 
home care setting; 

Any other source having relevant 
knowledge pertaining to the alleged 
abuse, neglect or dependency; 
Records, i.e., school, medical, mental 
health, or incident reports in an out-of- 
home care setting. 
£i} The county director shall exercise discretion 
in the selection of collateral sources in order to 
protect the family's or out-of-home care setting's 
right to privacy and the confidentiality of the 
report. 

(j) {&) Conducting a thorough investigation as 
outlined in (a) of this Rule when the alleged abuse.,. 
er neglect or dependency occurred in an institution 
shall include the following: 

(1) A discussion of the allegation with the 
individual who has on-site 
administrative responsibility for the 
institution; 

(2) A discussion of the procedure to be 
followed during the investigation; 

(3) The utilization of resources within and 
without the institution as needed and 
appropriate; 

(4) A discussion of the findings with the 
Administrator of the institution which 
shall be confirmed in writing by the 
county director and shall be held 
confidential by all parties as outlined in 
10 NCAC 411 .0313, of this 



£21 



il) 



14] 



Subchapters .. 
{§) Wh e n abus e or n e glect is confirmed, 

the — child's — legal — custodian — skaH — be 

inform e d; 
{&) Wh e n abuse or neglect is confirmed, a 

s e rvice plan for th e care and protection 

of the — child — shaH — be — developed — in 

cooperation with the institution and the 

l e gal custodian; 
£7) Wh e n abus e is confirmed, a written 

r e port shall b e mad e to the pros e cutor 

in the county wh e r e th e institution is 

located. 

Statutory Authority G.S. 143B-153; 7A-544. 

.0306 WHEN ABUSE, NEGLECT OR 
DEPENDENCY IS FOUND 

{*) — Wh e n a thorough inv e stigation r e veals the 
pr ese nc e of abus e or negl e ct, th e county dir e ctor 
shall d e cid e on, implement, and ov e r sec a s e rvice 
plan to assure ad e quat e car e for the child. — The 
plan shall includ e : 

■(4-) providing and arranging for appropriate 

s e rvic e s in th e child's own home for as 
long as the child r e quir e s protective 
s e rvic e s, as d e fin e d by the service plan 
and — as — indicat e d — by — th e car e takers' 
willingn e ss and ability to improv e th e ir 
car e of th e ir child. 

(2-) p e titioning for th e r e moval of the child 

from his own hom e and placing th e 

child ffi — appropriat e eare wh e n 

protection — cannot — be — initiated or 
continu e d in th e child's own home. 

(a) When a thorough investigation reveals the 
presence of abuse, neglect or dependency, the 
county director shall notify the following persons 
or agencies of the case finding: 

(1) any parent or caretaker who was 
alleged to have abused or neglected the 
child or children; 

(2) any parent or other individual with 
whom the child or children resided at 
the time the county director initiated the 
investigation; and 

(3) any agency with whom the court has 
vested legal custody. 

(b) When abuse, neglect or dependency is 
found, the county director shall determine whether 
the ease is one for which a structured risk 
assessment is required. The director shall base 
this determination on the instructions to the risk 
assessment tool provided by the Department of 
Human Resources. Division of Social Services. 



2433 



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February 1, 1993 



PROPOSED RULES 



01 



For all cases that require the completion of a 
structured risk assessment, the director shall 
complete such an assessment using the risk 
assessment tool provided by the Department of 
Human Resources, Division of Social Services. 
This risk assessment shall be completed within 
seven working days following a case finding of 
abuse, neglect or dependency; and the findings of 
the risk assessment shall be used in evaluating the 
need for services and in developing an intervention 
plan. 

(c) In aM cases in which abuse, neglect or 
dependency is found, the county director shall 
develop, implement, and over-see an intervention 
plan to ensure that there is adequate care for the 
victim child or children. The intervention plan 
shall: 

be based on the findings of the 
structured risk assessment when such a 
risk assessment was determined to be 
required according to the instructions 
provided by the Department of Human 
Resources, Division of Social Services; 
and 

contain goals representing the desired 
outcome toward which all case 
activities shall be directed; and 
contain objectives that: 

(A) describe specific desired outcomes, 

(B) are measurable, 
identify necessary behavior changes, 
are based on an assessment of the 
specific needs of the child or children 
and family, 
are time-limited, and 
are mutually accepted by the county 
director and the client; 

specify all the activities needed to 
achieve each stated objective; 
have clearly stated consequences that 
will result from either successfully 
following the plan or not meeting the 
goals and objectives specified jn the 
plan; and 

shall include petitioning for the removal 
of the child or children from the home 
and placing the child or children in 
appropriate care when protection cannot 
be initiated or continued in the child's 
or children's own home. 

(d) The risk assessment tool referred to in (b) of 
this Rule is to be used in those cases in which 
abuse, neglect or dependency is found and which 
meet the criteria presented in the instructions to 
the risk assessment tool provided by the 



12) 



£3} 






LEI 



i4j 
(5} 



<6J 



Department of Human Resources, Division of 
Social Services. For those cases that require the 
completion of a structured risk assessment, the risk 
assessment tool shall be completed at the following 
points in the case: 

(1) within seven working days following a 
case finding of abuse, neglect or 
dependency, and prior to the 
development of the intervention plan 
and prior to the provision of treatment 
or supportive services; and 

(2) as part of the six-month review and the 
annual review, if the case remains open 
for services; and 

(3) when the county director is considering 
taking court action in relation to the 
case; and 

(4) when the county director is considering 
closing the case for services; and if the 
director decides to close the case, the 
case must be closed within 30 days 
following completion of the risk 
assessment; and 

(5) at other times, at the county director's 
discretion, when conducting a 
structured risk assessment would help 
the director in making decisions 
concerning an open child protective 
services case. 

(e) {&) When an investigation leads a county 
director to find evidence that a child has been 
abused, the county director shall immediately, but 
in all cases within three working days of finding 
the evidence, make a written report to the 
prosecutor. The report shall include: 

( 1 ) the name and address of the child, of 
the parents or caretakers with whom the 
child lives, and of the alleged 
perpetrator when this person is different 
from the parents or caretaker; 
whether the abuse was physical, sexual 
or emotional; 

the dates that the investigation was 
initiated and that the evidence of abuse 
was found; 

whether law enforcement has been 
notified and the date of the notification; 
what was the evidence of abuse that 
was found; 
what plan to protect the child has been 

developed and ff- — k is b e ing 

impl e m e nt e d what is being done to 
implement h. 

(f) When a thorough investigation reveals the 
presence of abuse, neglect or dependency in an 



(2) 
(3) 

(4) 
(5) 
(6) 



7:21 



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February 1, 1993 



2434 



PROPOSED RULES 



institution, the county director shall complete the 
following steps: 

( 1 ) the child's or children's legal custodian 
shall be informed; 

(2) an intervention plan for the care and 
protection of the child or children shall 
be developed in cooperation with the 
institution and the legal custodian; 

(3) when abuse is found, a written report 
shall be made to the prosecutor in the 
county where the institution is located. 



Statutory Authority G.S. 

143B-153. 



.0307 



7A-544; 7A-548; 



WHEN ABUSE. NEGLECT OR 
DEPENDENCY IS NOT FOUND 

(a) When a thorough investigation does not 
reveal abuse,,, ef neglect or dependency , the county 
director shall: 



(1) 



(a) 



communicat e the finding of no abus e or 
negl e ct to the person having legal custody 
ef- — the — child — aee: — te — &e — all e g e d 
p e rp e trator. — wh e n — diff e r e nt — from — the 
person — wrtb — l e gal — custody; notify the 
following persons or agencies of the case 
finding: 

:aretaker who was 



ib) 



L^ 



(2) 



any parent or 

alleged to have abused or neglected the 
child or children; 

any parent or other individual with 
whom the child or children resided at 
the time the county director initiated the 
investigation; and 

any agency with whom the court has 
vested legal custody; 
communicate to the persons or agencies 
named in (11 of this Rule that the 
Department shall no longer be involved 
with the child or children on a non- 
voluntary basis. 

{b) Wh e n — d e p e nd e ncy — as — d e fin e d — m — G.S. 

7A 517(13) i s found th e county d e partm e nt of 
social s ervic e s shall provid e prot e ctiv e se rvic es to 
th e child. 

Statutory Authority G.S. 7A-542; 7A-544; 
143B-153. 

.0308 REVIEW BY THE PROSECUTOR 

(a) If a petition is not filed within five working 
days of the receipt of a report of abuse^ ef neglect 
or dependency the county director shall give 
written notice of his decision not to file a petition 
to the person making the report, unless the person 



does not give his name and mailing address, or the 
person waives his right to the notification, and 
these circumstances are documented in the 
protective services case record. 
The written notice must communicate that a 
petition has not been filed and set forth the 
following information and rights of the person 
making the report: 

(1) There is no finding of abuse,, ef neglect 
or dependency ; or the county 
department of social services is taking 
action to protect the welfare of the child 
or children and what specific action it is 
taking; and 

(2) The reporter has a right to request a 
review of the decision not to file a 
petition; and 

(3) The request for review must be made to 
the prosecutor, whose address shall be 
included, within five working days after 
the reporter receives the county 
director's decision. 

(b) When the county director receives a notice 
from the prosecutor that a review will be held 
regarding not filing a petition, he shall send 
immediately, but in all cases within three working 
days of the receipt of the notice, a copy of the 
investigation report to the prosecutor. 

Statutory Authority G.S. 143B-153. 

SECTION .0400 - COMMUNITY CHILD 
PROTECTION TEAMS 

.0401 NATURE AND PURPOSE OF TEAM 

(a) The community child protection team is a 
group comprised of community representatives 
meeting together on a regular basis to promote the 
development of a community-wide approach to the 
problem of child abuse^ afte! neglect and 
dependency . The community child protection team 
is established by the director of the county 
department of social services. 

(b) The community child protection team shall 
not encompass a geographic or governmental area 
larger than one county. The county director of 
social services may establish more than one 
community child protection team when needed due 
to caseload size or to access the special expertise 
of existing groups. 



Statutory Authority G.S. 
143B-153. 



7A-544; 7A-675; 



.0402 DUTIES AND RESPONSIBILITIES OF 



2435 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



THE TEAM 

The duties and responsibilities of the team shall 
be as follows: 

( 1 ) To review cases of child fatalities as 
defined in Rule .0409(a) of this Section. 
The purpose of such review shall be to 
identify whether gaps and deficiencies 
exist in the community child protection 
system and to assist the county director 
in the protection of surviving siblings; 

(2) To review selected active cases as 
outlined in Rule .0405 of this Section in 
which abuse^ ef neglect or dependency is 
suspected or found. The purpose of such 
review shall be to assist the county 
director in evaluating allegations of 
abuse^ ef neglect or dependency and in 
planning and providing services to 

prevent further abus e ef n e gl e ct 

maltreatment ; and 

(3) To recommend and advocate for system 
improvements and needed resources 
where gaps and deficiencies exist. 



Statutory Authority G.S. 
143B-153. 



7A-544; 7A-675; 



.0409 CASES SUBJECT TO REVIEW BY 
THE COMMUNITY CHILD 
PROTECTION TEAM 

(a) Each team shall review cases in which a 
child died as a result of suspected abuse^ ef 
neglect or dependency and a report of abuse,, ef 
neglect or dependency had been made about the 
child or his family to the county department of 
social services within the previous 12 months or 
the child or his family were recipients of child 
protective services within the previous 12 months. 

(b) Each team shall review other cases in accor- 
dance with Rule .0405(4) and (5) of this Section. 

Statutory Authority G.S. 7A-544; 7A-675; 
143B-153. 

.0410 CONFIDENTIALITY 

(a) The county director is authorized to share 
with the community child protection team any 
information available to him that is needed by the 
team in the execution of their duties as defined by 
Rule .0402 of this Section. 

(b) Each team member and invited participant 
shall sign a statement indicating their 
understanding of and adherence to confidentiality 
requirements including the possible civil or 
criminal consequences of any breach of 



confidentiality. Rules regarding confidentiality 
shall apply to any personal files that are created or 
maintained by any team member or invited 
participant. This does not preclude any agency 
representative from sharing with his agency, on a 
need to know basis, information acquired at a 
community child protection team meeting 
regarding a current client or referred case. 

(c) Members of the team who have access to 
client information and fail to comply with the rules 
in this Section shall be denied access to 
confidential information and subject to dismissal 
from the team. 

(d) Any invited participant who is given access 
to client information during the team review and 
fails to comply with the rules in this Section shall 
be denied future participation in team reviews. 

(e) The county director shall not share any 
information which discloses the identity of individ- 
uals who have reported suspected abuse^ ef neglect 
or dependency to the county department of social 
services. 

Statutory Authority G.S. 7A-544; 7A-675; 
W8A-80; 143B-153. 

SUBCHAPTER 41 Q - RESIDENTIAL 
MATERNITY HOMES 

SECTION .0200 - MINIMUM LICENSURE 
STANDARDS 

.0201 PERSONNEL 

(a) Staff Qualifications and Functions. 
( 1 ) Administrator. There shall be an ad- 
ministrator employed for the general 
management and supervision of the 
maternity home. The Administrator 
employed after the effective date of the 
rules of this Subchapter must have a 
bachelor's degree from a college or 
university accredited by the Association 
of Colleges and Schools and no less 
than four years work experience in a 
human services program including 
supervision, administration, and man- 
agement. The Administrator shall have 
the following responsibilities: 

(A) direct the maternity home's program 
of care and services in accordance 
with policies established by the gov- 
erning board and within license stan- 
dards; 

(B) recruit, employ, supervise and dis- 
charge staff; 



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February 1, 1993 



2436 



PROPOSED RULES 



(C) assure a training program for staff; 

(D) prepare the annual budget, supervise 
expenditures, and operate within the 
budget established; 

(E) establish and maintain good working 
relationships with other social 
agencies and represent the agency in 
the community; and 

(F) delegate authority to a qualified staff 
member during his absence. 

(2) Professional Services Staff. The 
maternity home must have available 
professional services personnel to 
assure appropriate services for each 
resident of the home. Professional 
personnel must include a doctor, 
dentist, nurse. social worker, 
psychologist, psychiatrist, member of 
the clergy, nutritionist, health educator, 
and teacher. Whether services are 
purchased through a contractual 
agreement or provided by members of 
the maternity home staff or obtained 
through public or private agencies or on 
a voluntary basis, professional services 
must be provided by qualified 
practitioners who are recognized and 
accepted by applicable professional 
organizations and appropriate state 
licensing boards. 

(3) Social Work Supervisor. If the 
maternity home employs staff to 
provide social work services, they shall 
employ a person who shall be 
responsible for supervising, evaluating, 
and monitoring the work and progress 
of the social services staff. The social 
work supervisor employed after the 
effective date of the rules of this 
Subchapter must have at a minimum a 
master's degree in social work or 
related area of study from an accredited 
school, and at least two years of social 
work experience; or a bachelor's degree 
and four years of experience in social 
work or related field. 

(4) Social Services Worker. If the materni- 
ty home employs social workers to be 
responsible for intake services, provid- 
ing casework services to the residents 
and their families, coordinating the 
services and resources affecting the 
client and their families, the social 
worker must have either a master's 
degree in social work or related field of 



study from an accredited school, or a 
bachelor's degree in social work or a 
related field and two years experience 
working directly in human services. If 
the social work staff are not supervised 
by a person meeting the qualifications 
of (a) (3) of this Rule, all social work 
staff shall meet these qualifications of 
(a) (3) of this Rule. 

(b) Staffing Requirements. When an agency 
employs five or more social worker staff, the 
agency shall employ a social work supervisor. 

(c) Resident Care Staff. 

(1) Full time resident house parents or 
counselors must be employed for direct 
care of maternity home residents. 

(2) All resident care staff hired after the 
effective date of the rules of this Sub- 
chapter shall be at least 18 years of 
age. 

(d) Volunteer Workers. If the maternity home 
uses volunteers to work directly with residents, the 
requirements of 10 NCAC 4IN .0211, apply. 

(e) Additional Personnel Requirements. In 
addition to those requirements specified in 10 
NCAC 41 N .021 1, the following rules are applica- 
ble to maternity home programs: 

(1) Health Examinations. All resident care 
staff and food service staff shall have a 
h e alth physical examination completed 
by a physician, physician's assistant, or 
nurse practitioner, hereafter referred to 
as "licensed medical provider." within 
at least six months before beginning 
work and biennially thereafter. A TB 
skin test js required prior to assuming 
the position and annually thereafter, 
except when the licensed medical pro- 
vider advises against yL Such e xamina 
tion s Examinations must include tests 
necessary to determine that the staff 
member is free — from — communicable 
diseas e s and able to carry out assigned 
duties and does not have any communi- 
cable disease or condition which poses 
significant risk of transmission j_n the 
facility . A report of each examination 
must be made a part of the employee's 
personnel file. 

(2) Leave for Resident Care Staff. Resi- 
dent care staff shall have a minimum of 
eight 24 hour days off duty each 
month. 

(3) Staff Development. The maternity 
home staff shall have a written staff 



2437 



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February 1, 1993 



PROPOSED RULES 



development plan which provides staff 
training in the following areas: 
medical, physical, and psychological 
aspects of pregnancy; prenatal and 
postnatal care; developmental needs of 
adolescents and young adults; 
counseling skills; emergency medical 
care; and nutrition and food 
preparation. 

Statutory Authority G.S. 131D-1; 143B-153. 

TITLE 15 A - DEPARTMENT OF 

ENVIRONMENT, HEALTH, AND 

NATURAL RESOURCES 

ISotice is hereby given in accordance with G.S. 
150B-21.2 that the EHNR - Environmental Man- 
agement Commission intends to amend rule cited 
as J5A NCAC 2B .0304. 

1 he proposed effective date of this action is 
October 1, 1993. 

1 he public hearing will be conducted at 7:00 
p.m. on April 1. 1993 at the Courtroom, 
Transylvania County Courthouse, Main Street, 
Brevard, NC. 

MXeason for Proposed Action: To reclassify 
Reasonover Creek including Lake Julia in the 
French Broad River Basin for use as a raw water 
supply source. 

(comment Procedures: All persons interested in 
this matter are invited to attend. Comments, 
statements, data and other information may be 
submitted in writing prior to, during or within 30 
days after the hearing or may be presented 
verbally at the hearing. Verbal statements may be 
limited at the discretion of the hearing officer. 
Submittal of written copies of verbal statements is 
encouraged. 

CHAPTER 2 - ENVIRONMENTAL 
MANAGEMENT 

SUBCHAPTER 2B - SURFACE WATER 
STANDARDS: MONITORING 

SECTION .0300 - ASSIGNMENT OF 
STREAM CLASSIFICATIONS 



.0304 FRENCH BROAD RIVER BASIN 

(a) Places where the schedules may be 
inspected: 

(1) Clerk of Court: 

Avery County 
Buncombe County 
Haywood County 
Henderson County 
Madison County 
Mitchell County 
Transylvania County 
Yancey County 

(2) North Carolina Department of 
Environment, Health, and Natural 
Resources 

Asheville Regional Office 
Interchange Building 
59 Woodfin Place 
Asheville, North Carolina 

(b) Unnamed Streams. Such streams entering 
Tennessee will be classified "B." 

(c) The French Broad River Basin Schedule of 
Classifications and Water Quality Standards was 
amended effective: 



(1) 


September 22, 1976; 


(2) 


March 1, 1977; 


(3) 


August 12, 1979; 


(4) 


April 1, 1983; 


(5) 


August 1, 1984; 


(6) 


August 1, 1985; 


(7) 


February 1, 1986; 


(X) 


May 1, 1987; 


(9) 


March 1, 1989; 


(10) 


October 1, 1989; 


(11) 


January 1, 1990; 


(12) 


August 1, 1990; 


(13) 


August 3, 1992; 


(14) 


October 1, 1993. 



(d) The Schedule of Classifications and Water 
Quality Standards for the French Broad River 
Basin was amended effective March 1, 1989 as 
follows: 

(1) Cataloochee Creek (Index No. 5-41) 
and all tributary waters were 
reclassified from Class C-trout and 
Class C to Class C-trout ORW and 
Class C ORW. 

(2) South Fork Mills River (Index No. 
6-54-3) down to Queen Creek and all 
tributaries were reclassified from Class 
WS-I and Class WS-III-trout to Class 
WS-I ORW and Class WS-III-trout 
ORW. 

(e) The Schedule of Classifications and Water 
Quality Standards for the French Broad River 



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February 1, 1993 



2438 



PROPOSED RULES 



Basin was amended effective October 1, 1989 as 
follows: Cane River (Index No. 7-3) from source 
to Bowlens Creek and all tributaries were 
reclassified from Class C trout and Class C to 
Class WS-III trout and Class WS-III. 

(f) The Schedule of Classifications and Water 
Quality Standards for the French Broad River 
Basin was amended effective January 1, 1990 as 
follows: North Toe River (Index No. 7-2) from 
source to Cathis Creek (Christ Branch) and all 
tributaries were reclassified from Class C trout and 
Class C to Class WS-III trout and Class WS-III. 

(g) The Schedule of Classifications and Water 
Quality Standards for the French Broad River 
Basin was amended effective August 3, 1992 with 
the reclassification of all water supply waters 
(waters with a primary classification of WS-I, WS- 
II or WS-III). These waters were reclassified to 
WS-I. WS-II, WS-III, WS-IV or WS-V as defined 
in the revised water supply protection rules, (15A 
NCAC 2B .0100, .0200 and .0300) which became 
effective on August 3. 1992. In some cases, 
streams with primary classifications other than WS 
were reclassified to a WS classification due to their 
proximity and linkage to water supply waters. In 
other cases, waters were reclassified from a WS 
classification to an alternate appropriate primary 
classification after being identified as downstream 
of a water supply intake or identified as not being 
used for water supply purposes. 

(h) The Schedule of Classifications and Water 
Quality Standards for the French Broad River 
Basin was amended effective October _L 1993 as 
follows: Reasonover Creek (Index No. 6-38-14- 
( 1 ) from source to Reasonover Lake Dam and all 
tributaries were reclassified from Class B Trout to 
Class WS-V and B Trout, and Reasonover Creek 
(Index No. 6-38-14-(4) from Reasonover Lake 
Dam to Lake Julia Dam and all tributaries were 
reclassified from Class C Trout to Class WS-V 
Trout . 



Statutory Authority G.S. 

143-21 5. 3(a)(1). 



143-214.1; 143-215.1; 



% ^ ^ >;; 



1\ otice is hereby given in accordance with G.S. 
150B-21.2 that the Environment, Health, and 
Natural Resources. NCWTFO Board of Certifica- 
tion intends to amend rules cited as 15A NCAC 
18D .0201 and .0206. 



1 he proposed effective date of this action is May 
3, 1993. 

1 he public hearing will be conducted at 9:30 
a.m. on March 9, 1993 at the Jane S. McKimmon 
Center, NC State University, Western Boulevard, 
Raleigh, NC. 

Ixeason for Proposed Action: To establish cross 
connection control personnel certification and 
change "Grades " to "Class " when used to describe 
a category of system. To provide the conditions 
which require an operator in responsible charge 
and to specify grade of certification held by the 
operator in responsible charge. 

Ksomment Procedures: Any person requiring 
information may contact Mr. John C. McFadven, 
Post Office Box 27687, Raleigh, North Carolina 
27611-7687, Telephone (919) 733-2321 or 733- 
0379. Written comtnents may be submitted to the 
above address no later than March 2, 1993. 
Notice of an oral presentation must be given to 
Mr. John C. McFadyen at the above address prior 
to the public hearing. 

CHAPTER 18 - ENVIRONMENTAL 
HEALTH 

SUBCHAPTER 18D - WATER TREATMENT 
FACILITY OPERATORS 

SECTION .0200 - QUALIFICATION OF 

APPLICANTS AND CLASSIFICATION OF 

FACILITIES 

.0201 GRADES OF CERTIFICATION 

Applicants for the various grades of certification 
shall meet the following educational and experi- 
ence requirements: 

(1) GRADE A-SURFACE shall have one 
year acceptable experience at a surface 
water facility while holding a Grade B- 
Surface certificate and have satisfactorily 
completed an approved A-Surface school. 

(2) GRADE B-SURFACE shall: 

(a) Be a college graduate with a bachelor's 
degree in the physical or natural scienc- 
es or be a graduate of a two year tech- 
nical program with a diploma in water 
and wastewater technology, and have 
six months of acceptable experience at 



243 9 



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PROPOSED RULES 



a surface water facility, or 
(b) Have one year of acceptable experience 
at a surface water facility while holding 
a Grade C-Surface certificate and have 
satisfactorily completed an approved B- 
Surface school. 

(3) GRADE C-SURFACE shall: 

(a) Be a college graduate with a bachelor's 
degree in the physical or natural scienc- 
es or be a graduate of a two year tech- 
nical program with a diploma in water 
and wastewater technology, and have 
six months of acceptable experience at 
a surface water facility, or 

(b) Be a high school graduate or equiva- 
lent, have six months acceptable experi- 
ence at a surface water facility and have 
satisfactorily completed an approved C- 
Surface school. 

(4) GRADE A-WELL shall have one year of 
acceptable experience at a well water 
facility while holding a Grade B-Well 
certificate and have satisfactorily com- 
pleted an approved A-Well school. 

(5) GRADE B-WELL shall: 

(a) Be a college graduate with a bachelor's 
degree in the physical or natural scienc- 
es or be a graduate of a two year tech- 
nical program with a diploma in water 
and wastewater technology, and have 
six months of acceptable experience at 
a well water facility, or 

(b) Have one year of acceptable experience 
at a well water facility while holding a 
Grade C-Well certificate and have 
satisfactorily completed an approved B- 
Well school. 

(6) GRADE C-WELL shall: 

(a) Be a college graduate with a bachelor's 
degree in the physical or natural scienc- 
es or be a graduate of a two year tech- 
nical program with a diploma in water 
and wastewater technology, and have 
six months of acceptable experience at 
a well water facility, or 

(b) Have six months of acceptable experi- 
ence at a well water facility and have 
satisfactorily completed an approved C- 
Well school. 

(7) GRADE A-DISTRIBUTION shall have 
one year of acceptable experience at 
Grad e Class B or higher distribution 
system while holding a Grade B-Distribu- 
tion certificate and have satisfactorily 
completed an approved A-Distribution 



(8) 
(a) 



(b) 



(9) 
(a) 



(b) 



(c) 



(10) 



ib) 



school, and hold current cardiopulmonary 
resuscitation certificate. 
GRADE B-DISTRIBUTION shall: 
Be a college graduate with a bachelor's 
degree in the physical or natural scienc- 
es or be a graduate of a two year tech- 
nical program with a diploma in water 
and wastewater technology, and have 
six months of acceptable experience at 
a Grad e Class B or higher distribution 
system, or 

Have one year of acceptable experience 
at a Grade Class C or higher distribu- 
tion system while holding a Grade C- 
Distribution certificate and have satis- 
factorily completed an approved B- 
Distribution school. 
GRADE C-DISTRIBUTION shall hold a 
certificate of completion of approved 
trench shoring training and shall: 
Be a college graduate with a bachelor's 
degree in the physical or natural scienc- 
es, or be a graduate of a two year 
technical program with a diploma in 
water and wastewater technology, and 
have six months of acceptable experi- 
ence at a Grad e Class C or higher 
distribution system, or 
Be a high school graduate or equiva- 
lent, have six months of acceptable 
experience at a Grade Class C or higher 
distribution system and have satisfacto- 
rily completed an approved C-Distribu- 
tion school, or 

Have one year of acceptable experience 
at a Grad e Class C or higher distribu- 
tion system and have satisfactorily 
completed an approved C-Distribution 
school. 
GRADE CROSS-CONNECTION-CON- 
TROL shall: 
Be a college graduate with a bachelor's 
degree in the physical or natural scienc- 
es, or be a graduate of a two-year 
technical program with a degree in 
water and wastewater or civil engineer- 
ing technology, and have satisfactorily 
completed an approved cross connection 
control school, or 

Be a high school graduate or equiva- 
lent, have six months of acceptable 
experience at Class C-Distribution or 
higher system and have satisfactorily 
completed an approved cross connection 
control school, or 



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February 1, 1993 



2440 



PROPOSED RULES 



Have one year of acceptable experience 
at a Class C-Distribution or higher 
system while holding a Grade C-Distri- 
bution or higher certificate and have 
satisfactorily completed an approved 
cross connection school, or 
Be a plumbing contractor licensed by 
the State of North Carolina and have 
satisfactorily completed an approved 
cross connection control school. 



tor; 
(4) Within 18 months of vacancy the facili- 
ty shall have a certified Class Grade C 
or above operator assigned to fill the 
vacancy. 

Statutory Authority G.S. 90A-20; 90A-28; 90A-29. 

TITLE 21 - OCCUPATIONAL 
LICENSING BOARD 



Statutory Authority G.S. 90A-21(c); 90A-22; 
90A-23. 

.0206 CERTIFIED OPERATOR REQUIRED 

(a) Th e r e shall b e an op e rator in r e sponsibl e 
charg e for e ach wat e r treatment facility. 

There shall be an operator in responsible charge 
for each water treatment facility that adds chemi- 
cals to the water, has approved plans for adding 
chemicals to the water, or has equipment installed 
for adding chemicals to the water. The operator in 
responsible charge shall possess a valid certificate 
issued by the Board equivalent to or exceeding the 
classification of the facility for which he or she is 
designated except for purchase water systems 
which add only a disinfectant to the water in which 
case the operator in responsible charge shall hold 
a surface water, well water or distribution system 
certification equivalent to or exceeding the classifi- 
cation of the facility without respect to the original 
source of the water. 

(b) There shall be an operator holding at least a 
Class Grade C surface certification or above 
assigned to be on duty on the premises when a 
Class A. Class B. or Class C surface water treat- 
ment facility is treating water. In no case shall 
there be a substitute non-certified operator for 
more than seven days. Implementation of this 
requirement is subject to the following provisions: 



(1) 



(2i 



(3) 



Upon the effective date of this rule, 
each affected facility shall have two 
years to come into compliance; 
Upon vacancy of a position resulting in 
noncompliance with this requirement 
each facility shall notify' the Board 
Office within 24 hours or at the start of 
the next regular business day of such 
vacancy; 

Upon such vacancy the facility shall 
have 90 days to fill the position with a 
certified Class Grade C or above opera- 
tor or shall have pending approval for 
a temporary certification for the opera- 



i\ otice is hereby given in accordance with G.S. 
150B-21.2 that the Board of Medical Examiners of 
the State of North Carolina intends to amend rules 
cited as 21 NCAC 32L .0001 - .0009, .0011 - 
.0013 and adopt rule cited as 21 NCAC 32L 
.0010. 

Auditor's Note: The agency is proposing to 
renumber existing rules .0010 - .0012 to .001 1 - 
.0013 and adopt a new rule .0010. 

1 he proposed effective date of this action is June 
1. 1993. 

1 he public hearing will be conducted at 1:00 
p.m. on February 19. 1993 at the North Raleigh 
Hilton. 3415 Wake Forest Road. Raleigh, N.C. 

Jxeason for Proposed Action: 
21 NCAC 32L .0001 - .0008 - To amend rules for 
clarification of and addition to Board 's require- 
ments for PA approval to include National Certifi- 
cation. Continuing Education, additional approval 
categories, additional prescribing privileges, and 
additional supervision accountability. 
21 NCAC 32L .0010 - To add a rule to include a 
general listing of what PA 's are trained to do and 
to provide an avenue for physicians to request 
approval for their PA's to perform special proce- 
dures specifically tailored to the needs of the 
physician 's individual practices. 
21 NCAC32L .0011 - .0013 - To amend Board's 
registration requirements for PA 's from annual to 
biennial, to require additional documentation of 
National Certification, Continuing Education, and 
supervision: to increase fees in accordance with 
increased BME staff and Board member involve- 
ment regarding PA 's. 

(comment Procedures: Persons interested may 



2441 



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February 1, 1993 



PROPOSED RULES 



comment by written or oral statement at the hear- 
ing or in writing to Administrative Procedures, 
NCBME, PO Box 26808, Raleigh, NC 27611- 
6808, by March 3, 1993. 

CHAPTER 32 - BOARD OF 
MEDICAL EXAMINERS 

SUBCHAPTER 32L - APPROVAL OF 
PHYSICIAN ASSISTANTS 



.0001 

The 
ter: 

(1) 



(2) 



ih 



(41 



DEFINITIONS 

following definitions apply to this Subchap- 

" Physician Assistant or PA" means an 
auxiliary, paramedical person who func- 
tions at the direction of or under the 
supervision of a physician licensed by the 
Board and who performs tasks tradition- 
ally performed by the physician, such as 
history taking, physical examination, 
diagnosis and treatment. Categories of 
approval are explained in Rule .0003 of 
this Subchapter. 

"Physician Assistant Applicant" means 
the individual upon whose behalf an 
application is submitted may function 
b e fore approval by the Board in th e sam e 
manner — m — which — he function e d as — a 
student under strict sup e rvision as out- 
lined in Rule .0002(1) of this Subchapter. 
"Physician Assistant Applicant z Previ- 
ously Approved" means the individual 
upon whose behalf an application is 
submitted who has been previously ap- 
proved as a PA in North Carolina. The 
previously approved PA may function 
prior to approval of the new job, as 
outlined in Rule .0002 {2} of this Sub- 
chapter. 

"Physician Assistant-Intern" means the 
individual who has not received NCCPA 



ill 



i6j 



certification and is approved by the 
Board to function as outlined in Rule 
.0003 of this Subchapter. 
"Physician Assistant-Certified" means the 
individual who holds current NCCPA 
certification and earns 100 hours of 
Category I CME every two years which 
js approved by AAPA and is approved by 
the Board to function as outlined in Rule 
.0003 of this Subchapter. 
"Physician Assistant-CME" 



means an 



individual approved prior to June _L, 
1993, who continues to be registered 



with the Board by submitting documenta- 
tion of earning 100 hours of Category I 
CME every two years which is approved 
by AAPA and is approved by the Board 
to function as outlined in Rule .0003 of 
this Subchapter. 

(3) £7) "Supervision" means the physician's 
function of overseeing, managing, and 
directing the medical acts performed by 
the PA as outlined in Rule Rules .0009 
and .0010 of this Subchapter. 

<4) (8) "Primary Supervising Physician" 
means the physician who, by signing the 
application to the Board, accepts full 
medical administrative responsibility for 
the PA's medical activities and conduct at 
all times whether he /she personally is 
providing supervision or supervision is 
being provided by a Back-up Supervising 
Physician. The Primary Supervising 
Physician shall assume total responsibility 
to assure the Board that the PA is suffi- 
ciently qualified by education and train- 
ing to perform all medical acts required 
of the PA and shall assume total respon- 
sibility for the PA's performance in the 
particular field or fields in which the PA 
is expected to perform medical acts. The 
primary supervising physician will be 
approved for one year unless a written 
request with valid reasons for change is 
specifically approved by the Board. 

{£) (9) "Back-up Supervising Physician" 
means the physician who, by signing the 
application to the Board, accepts the 
responsibility to be available to supervise 
the PA's activities in the absence of the 
Primary Supervising Physician only in 
the practice sites listed in the application 
approved by the Board. The Back-up 
Supervising Physician is responsible for 
the activities of the PA only when he /she 
is providing supervision. 

(6) ( 10) "Formulary" means the docum e nt 
which lists listing of generic categories of 
drugs to be prescribed, ordered, or dis- 
pensed by physician extenders under 
written standing orders from the supervis- 
ing physician for patient care in approved 
practice sites as more specifically delin- 
eated in the Approved Formulary. 

(?) (11) "Approved practice sites" mean 
only those practice sites specifically listed 
in the approved application on file in the 
Board's office in which the PA may 



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February 1, 1993 



2442 



PROPOSED RULES 



(12) 



(13) 
(14) 
(15) 



legally perform medical acts. 

NCCPA ; National Commission for 

Certification of Physician Assistants - See 

Rule .0003 (a)(3). 

AAPA ; American Academy of Physician 

Assistants. 

('ME : Continuing Medical Education : 

See Rules .0003 and .0010. 



Rural Health Clinics = defined by the 
N.C. Office of Rural Health and 
Resource Development as any practice 
which has certification under the Rural 
Health Clinic Act (P:95-210). Current 
requirements include location in a non- 
urbanized area m a county with a federal 
designation of Medically Underserved 
Area (Ml' A.) or Health Professional 
Shortage Area (HPSA). 



Statutory Authority G.S. 90-18(13); 90-18.1. 

.0002 PHYSICIAN ASSISTANT APPLICANT 
STATUS 

The Physician Assistant Applicant Status may be 
used only by an individual whose application for 
approval of a Physician Assistant has been re- 
ceived in the Board's office. 

The Physician Assistant Applicant status may not 
be used to "try out" a job or work temporarily in 
a job in which the individual does not intend to 
obtain Board approval. In the event the individual 
leaves the job in which he /she has worked as a 
Physician Assistant Applicant before Board ap- 
proval is granted, the individual must submit a 
written explanation to the Board before he /she may 
work in the Physician Assistant Applicant status in 
another job. 



s tatu s 



f4-» Th e Phy s ician A ss i s tant Applicant st 

appli es to: 
Physician Assistant Applicants fall into two 
categories: 
( 1 ) Physician Assistant Applicant z new to 

North Carolina: 

(a) Effective ; only upon receipt of the 
applic a tion in the Board's office. 

(b) Definition: 

(a) £Q an individual newly graduated 
from a PA training program; or 

fb-> ijjj an individual coming to North 
Carolina for the first time who has 
worked previously as a PA in another 
state. 

(c) Limitations: 

m wear identification as a Physician 
Assistant Applicant: 



(ii) have no prescribing privileges: 
(iii) have immediate physician counter- 
signing of aU notations m all patient 
charts in aU practice locations: 
(iv) have no remote practice sites. (The 
supervising physician must always be 
physically present in the practice site 
in which the applicant is working.) 

(3) A Phy s ician Assistant Applicant. 

d e scrib e d — ia — Subparagraphs 1 ) — of this 
Rul e , may function b e for e approval by 
th e Board und e r strict sup e rvision with 
th e following limitations: 
(2) Physician Assistant Applicant ; Previous- 
ly Approved: 
Effective - only upon receipt of the 



fa) 



application in the Board's office. 
Definition: 

(i) an individual who has been previously 
approved as a PA in North Carolina 
in another practice situation which has 
terminated: or 
(ii) an individual who is currently ap- 
proved in one job and is applying for 
approval of a second job. 
(c) Limitations: 

(i) wear identification as a Physician 

Assistant; 
(ii) use prescribing number previously 
issued by the Board for prescribing 
privileges j_n accordance with the 
Approved Formulary': 
(iii) have immediate physician counter- 
signing of aU notations jn all patient 
charts j_n al] practice locations: 
(iv) have no remote sites. (The supervis- 
ing physician must always be physi- 
cally present in the practice site in 
which the applicant is working. ) 

<4-l The Physician Assistant Applicant statu s 

do e s not apply to an individual pr e viously 
approv e d as a PA in North Carolina in 
anoth e r — practic e — s ituation — which — has 
t e rminat e d who is s ee king approval in a 
n e w job. — Th e pr e viously approv e d PA 
may function prior to approval of th e 
n e w j ob as follows: 



W- 



fb)- 



w e ar — id e ntification — as — a — 4%v 
Assistant:" 



-ttse — pr e scribing — numb e r — pr e viously 
issu e d by th e Board for pr e scribing 
privil e g es ; 

fe-) hav e — phy s ician — count e rsigning of nil 

notations — in all — pati e nt charts — in all 
practic e locations within 2 4 hours of 



2443 



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NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



PA/pntic - nt contact . 

Statutory Authority G.S. 90-18(13). 

.0003 REQUIREMENTS FOR PA 
APPROVAL 

(a) B e fore — b e ing — approv e d Eligibility for 
approval ; to be approved by the Board, an 
applicant must: 

(1) Be of good moral character. 

(2) Give evidence that he /she has 
successfully completed a PA training 
program recognized by the Board as set 
forth in Rule .0006 of this Subchapter. 

(3) Give evidence of current NCCPA 
certification if applying for initial NC 
approval after June J^ 1993: 

(A) Physician Assistants approved before 
June f, 1993, shall be exempt from 
the NCCPA certification requirement 
but must meet CME requirements set 
out in Rule .0010 of this Subchapter. 

(B) Physician Assistants approved before 
June L, 1993, who hold current 
NCCPA certification shall provide 
documentation at the time of biennial 
registration beginning July f, 1993 in 
addition to CME requirements set out 
in Rule .0010 of this Subchapter. 

(C) Physician Assistant applicants 
awaiting NCCPA examination scores 
may be approved as a Physician 
Assistant Intern and function under 
the limitations of Rule .0003 until 
NCCPA certification documentation is 
received in the Board's office. The 
applicant must take the first available 
NCCPA examination after applying 
for PA approval in North Carolina. 

(D) In the event, the Physician Assistant 
Intern fails the NCCPA examination: 



examination. Board approval to 
function in any capacity as a 



ill 



Board approval to function in the 
Intern status will become void and 
the individual will automatically 
be placed in the PA Applicant 
status as outlined in Rule .0002(1) 
of this Subchapter and must take 
the next available NCCPA 
examination. During this time, 
the applicant must provide 
documentation of earning 50 

after 



hours of CME by July 
failing the examination, 
(ii) If documentation is received of 
failure of the second NCCPA 



Physician Assistant will become 
void until documentation of 
current NCCPA certification is 
provided to the Board along with 
the required application forms and 
credentials, 
(b) Approval Categories after June f, 1993: 

(1) Physician Assistant- Applicant = (see 
Rule .0002 of this Subchapter). 

(2) Physician Assistant-Intern - an individu- 
al who applies for approval before 
receiving NCCPA scores may function 
as a PA u pon receipt of the application 
in the Board's office as follows: 

(A) wear identification as Physician Assis- 
tant-Intern; 

(B) have prescribing privileges in accor- 
dance with the Approved Formulary; 

(C) have physician countersign all nota- 
tions in all patient charts in all prac- 
tice locations within 24 hours of 
PA/patient contact; 

(D) have no remote practice sites. (The 
supervising physician must always be 
physically present m the practice site 
in which the applicant is working.) 

(3) Physician Assistant-Certified ; An 
individual holding NCCPA certification 
and 50 hours of CME per year 
approved by AAPA whose PA 
application has been approved may 
function as follows: 

wear identification as Physician 



(B) 
ID) 



Assistant; 

have prescribing 

accordance with 

Formulary; 

have physician 



privileges jn 
the Approved 



countersign 



all 



14J 



notations in all patient charts in all 
practice locations within 72 hours of 
PA/patient contact; 
remote practice sites allowed with 
supervision outlined in Rule .0009 of 
this Subchapter. 
Physician Assistant-CME An 



individual approved prior to July J^ 
1994, with 50 hours of CME per year 
approved by AAPA whose PA 
application has been approved may 
function as follows: 

(A) wear identification as Physician 
Assistant; 

(B) have prescribing privileges in 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2444 



PROPOSED RULES 



accordance with the Approved 
Formulary; 

(C) have physician countersign all 
notations in all patient charts in all 
practice locations within 72 hours of 
PA/patient contact; 

(D) remote practice sites allowed. 
{&) — Initial 

(c) Approval may be denied for any of the 
reasons set forth in this Rule or in Rule .0007 of 
this Subchapter, as well as failure to satisfy the 
Board of the qualifications of the PA training 
program from which the applicant graduated as set 
forth in Rule .0006 of this Subchapter. 

Statutory Authority G.S. 90-18(13). 

.0004 APPLICATION FOR PA APPROVAL 

(a) Application for approval of a PA must be 
made upon forms supplied by the Board and must 
be submitted jointly by the PA and supervising 
physicians with whom the PA will work. 

(b) Application forms submitted to the Board 
must be completed in every detail and every 
supporting document required must be submitted 
by the deadline set by the Board in order that the 
application may be considered appropriately. 

(c) If for any reason a PA discontinues working 
under the supervision of the primary physician 
who submitted the application under which the PA 
is approved, the Board shall be notified and the 
PA's approval shall automatically terminate until 
such time as a new application is approved by the 
Board. 

(d) The following applications for changes in the 
PA practice may be administratively approved by 
the Board's staff: 

( 1 ) routine job changes of a PA previously 
approved in N.C. North Carolina; 

(2) additional job under a new primary 
supervising physician; 

(3) change of primary supervising 
physician when that is the only change 
taking place in a currently approved PA 
practice site; 

(4) addition of back-up supervising 
physicians to a currently approved PA 
practice site; 

(5) addition of practice sites under the 
supervision of the currently approved 
primary supervising physician; 

(6) temporary approval for second site on 
relief basis not to exceed two months. 

fe-) — Administrativ e approval is not automatic for 
th e applications listed — in this — Rul e . — Th e chang e s 



may b e administratively approv e d at the discr e tion 
of th e Board's staff. Changes cannot be proc e ss e d 
administrativ e ly but must b e considered by the 

Board a s follows: if any of the background 

qu e stion s — are — answ e r e d — "y e s" — by — the — PA — e? 
primary sup e rvising physician; or if th e PA or any 



jf th e 



ip e rv 



tg — phys 



s4ed — h*¥< 



inv e stigativ e , complaint, or public fil e . 

(e) While these changes may be administratively 
approved at the discretion of the Board's staff, 
administrative approval is not automatic for such 
applications. Under the following conditions, 
changes may not be processed administratively by 
the Board staff, but may still be considered by the 
Board: if any of the background questions are 
answered "yes" by the PA or primary supervising 
physician, or if the Board has an investigative or 
complaint file pertaining to the PA or any of the 
supervising physicians listed on the application, or 
if formal disciplinary action has been taken against 
the PA or physician in North Carolina or any other 
jurisdiction. 

Statutory Authority G.S. 90-18(13); 90-18.1. 

.0005 PRESCRIBING PRIVILEGES 

(a) The PA applicant and the supervising 
physicians shall acknowledge in the application 
that they are familiar with state and federal statutes 
laws and rules of the Board regarding prescribing; 
and shall agree to comply with thes e laws and 
rul es by incorporating th e law s these statutes and 
rules, including the Approved Formulary, into 
their written standing orders. 



m- 



Th e — g e n e ric — cat e gori es — li s t e d — m — the 



Formulary ar e ba se d on th e American Hospital 
Formulary — Servic e publish e d by th e — Am e rican 
Soci e ty of Hospital Vi. Th e Formulary i s adopt e d 
by ref e r e nc e by th e Board a s part of this Rul e in 
accordanc e with provi s ion s of G.S. 150B 1 4 (c). 

{e} £b) The prescribing stipulations contained in 
these Rules and in the Approved Formulary apply 
to writing prescriptions, ordering the 
administration of medications in out-patient and 
inpatient settings, and dispensing medications. 
Approval to dispense must be obtained from the 
Board of Pharmacy. 

{4} (cj Prescribing stipulations are as follows: 
(1) Controlled Substances: 

(A) No controlled substances (Schedules 
_L 2, 2N, 3, 3N. 4. 5) defined by the 
State and Federal Controlled 
Substances Act may be prescribed, 
ordered, or dispensed. 

(B) Verbal orders given to the PA by the 



2445 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



supervising physician for 
administration of a controlled 
substance to a specific patient may be 
entered into the patient chart by the 
PA just as an RN may transcribe a 
physician's verbal order into a patient 
chart. 

(2) Parenteral Medications - No parenteral 
preparations may be prescribed, 
ordered, dispensed, or administered 
unless under the order of the 
supervising physician as set forth in 
Paragraph £cj (d)(3)(B) of this Rule 
with the exception of those medications 
listed on the Approved Formulary as 
allowed. 

(3) Excluded Drugs: 

(A) Any pure form or combination of the 
generic classes of drugs listed in the 
Approved Formulary may be 
prescribed, ordered, or dispensed, 
unless the drug or class of drug is 
listed as excluded from the Approved 
Formulary. 

(B) The PA may prescribe an excluded 
drug or class of drug only as follows: 

(i) after the patient has been 
previously seen by the supervising 
physician for initial treatment of 
that illness and a written order has 
been entered into the chart by the 
physician for future treatment by 
the PA; or 

(ii) upon a specific written or verbal 
order obtained from the 
supervising physician before the 
prescription or order is issued by 
the PA. 

(C) Such a prescription or order written 
as described in Paragraph (b) of this 
Rule must be signed by the PA with a 
notation that it is issued on the 
specific order of the supervising 
physician. For example: Mary 
Smith, PA, on order of John Doe, 
M.D. 

(4) Refills - A prescription may not 
indicate a refill unless authorized by the 
supervising physician, with the 
following exceptions^ ef 

(A) Birth control m e dications which Oral 
contraceptives may be issued for a 
period not to exceed one year. 

(B) Prenatal vitamin refills may be issued 
not to exceed the perinatal period. 



(C) Fluoride refills may be issued not to 
exceed one year. 

(5) Dosage Units - Amount of drug 
prescribed, ordered, or dispensed can 
be no more than 100 dosage units or a 
one month supply (whichever is most 
applicable) with the exception of bk=tfr 

control medications — which — may — be 

issu e d for a period not to e xceed one 
year- those noted in Paragraph (c)(4) of 
this Rule. 

(6) Prescription Notations - Every 
prescription must be noted on the 
patient's chart. A second prescription 
for the same medication may be 
authorized by telephone by the PA and 
must be entered on the patient's chart 
and countersigned by the supervising 
physician within the specific 
countersigning time approved by the 
Board. 

(7) Prescribing Number - A prescribing 
number is assigned by the Board to a 
PA upon approval by the Board. This 
number must appear on all prescriptions 
issued by the PA. The prescribing 
number is used as the PA's Approval 
Number. A "license" number [s not 
issued. 

(8) Prescription Blank Format - All 
prescriptions issued by a PA shall 
contain the name and telephone number 
of the supervising physician; the name, 
practice address, telephone number, and 
prescribing number of the PA, as well 
as all information required by law. A 
suggested prescription format is 
included in the application packet. 

(9) Pre-signed Prescription Blanks - The 
supervising physician shall not leave 
pre-signed prescription forms for use by 
the PA. 

Statutory Authority G.S. 90-18(13); 90-18. 1; 150B- 
14(c). 



.0006 REQUIREMENTS FOR 
RECOGNITION OF PA 
TRAINING PROGRAMS 

All PA training programs approved by the 
American Medical Association Council on M e dical 
Education (AMA) Committee on Allied Health 
Education and Accreditation to be in compliance 
with the "Essentials for the Assistant to the 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2446 



PROPOSED RULES 



Primary Care Physician" are recognized by the 

Board only if they meet the following core 

curriculum requirements. 

( 1 ) Application for recognition of a PA 

training program not approved by the 

AMA as specified above shall be made 

by letter and supporting documents from 

the director of the program and must 

demonstrate to the satisfaction of the 

Board that such program fulfills the 

following requirements: 

(a) Sponsorship - The training program 
must be sponsored by a college or 
university with appropriate 
arrangements for the clinical training of 
its students, such as a hospital 
maintaining a teaching program. There 
must be evidence that the program has 
education as its primary orientation and 
objective. 

(b) Director - The program must be under 
the supervision of a qualified director, 
who has at his /her disposal the 
resources of competent personnel 
adequately trained in the administration 
and operation of educational programs. 

(c) Facilities - Adequate space, light and 
modern equipment must be provided for 
all teaching functions. A library, 
containing up-to-date textbooks, 
scientific periodicals, and reference 
material pertaining to clinical medicine, 
its underlying scientific disciplines, and 
its specialties, shall be readily 
accessible to students and faculty. 

(d) Curriculum - The curriculum must 
provide adequate instruction in the 
basic sciences underlying medical 
practice to provide the trainee with an 
understanding of the nature of disease 
processes and symptoms, abnormal 
tests, and drug actions. This must be 
combined with instruction, observation, 
and participation in history taking, 
physical examination, and therapeutic 
procedures. This should be in 
sufficient depth to enable the graduate 
to integrate and organize historical and 
physical findings. The didactic 
instruction shall follow a planned and 
progressive outline and shall include an 
appropriate mixture of classroom 
lectures. textbook assignments, 
discussions, demonstrations, and similar 
activities. Instruction shall include 



practical instruction and clinical 
experience under qualified supervision 
sufficient to provide understanding of a 
skill in performing those clinical 
functions which the PA may be asked 
to perform. There must be sufficient 
evaluative procedures to assure 
adequate evidence of competence. 
Although the student may concentrate 
his /her effort and his /her interest in a 
particular specialty of medicine, the 
program must insure ensure that he /she 
possesses a broad general understanding 
of medical practice and therapeutic 
techniques. 

(e) Length of program - Although some 
variation may be possible for the 
individual student. dependent on 
aptitude. previous education and 
experience, the curriculum shall be 
designed to require two or more 
academic years for completion. 

(f) Faculty - The program must have a 
faculty competent to teach the didactic 
and clinical mat e rial materials which 
comprises- the curriculum. The faculty 
shall include at least one instructor who 
is a graduate of medicine, licensed to 
practice medicine in the location of the 
school, whose training and experience 
enable him to properly supervise 
progress and teaching in clinical 
subjects. He /she shall be in attendance 
for sufficient time to insur e ensure 
proper exposure of the student to 
clinical teaching and practice. The 
program may utilize instructors other 
than physicians, but sufficient exposure 
to clinical medicine must be provided to 
in s ur e ensure understanding of the 
patient. his- the problem, and the 
diagnostic and therapeutic responses to 
th+s the problem. 

(g) Entrance Requirements - The program 
must, through appropriate entrance 
requirements. insur e ensure that 
candidates accepted for training 
possess: 

(i) ability to use written and spoken 
language in effective communication 
with physicians, patients, and others; 

(ii) quantification skills to in s ur e ensure 
proper calculation calculations and 
interpretation of tests medical testing : 

(iii) behavioral characteristics of honestv 



2447 



7:21 



NORTH CAROLINA REGISTER 



Eebruary 1, 1993 



PROPOSED RULES 



and dependability; and 
(iv) high ethical and moral standards, in 
order to safeguard the interest of 
patients and others. 

(2) To retain its recognition by the Board, a 
recognized program shall: 

(a) make available to the Board the 
operating budget and yearly summaries 
of case loads and educational activities 
done by clinical affiliates, including 
volume of outpatient visits and number 
of inpatients; 

(b) maintain a satisfactory record of the 
entrance qualifications of and 
evaluations of all work done by each 
student, which shall be available to the 
Board; and 

(c) notify the Board in writing of any 
major changes in the curriculum or a 
change in the directorship of the 
program . 

(3) Recognition of a program may be 
withdrawn when, in the opinion of the 
Board, the program fails to maintain the 
educational standards described above. 
When a program has not been in 
operation for a period of two consecutive 
years, recognition will automatically be 
withdrawn. Withdrawal of recognition 
from a program will in no way affect the 
status of a PA who graduated from the 
program while it was recognized and who 
has been approved by the Board. 

Statutory Authority G.S. 90-18(13). 

.0007 TERMINATION OF PA APPROVAL 

The approval of a PA may be terminated by the 
Board when, after due notice and hearing in 
accordance with provisions of Articl e 3A of G.S. 
43QB G.S. 150B-38, it shall find: 

( 1 ) that the PA has held himsel f/herself out 
or permitted another to represent him /her 
as a licensed physician; 

(2) that the PA has engaged in the perfor- 
mance of medical acts other than at the 
direction of, or under the supervision of, 
a physician licensed by the Board who is 
approved by the Board to be a supervis- 
ing physician; 

(3) that the PA has performed a medical act 
for which the PA is not approved or for 
which the PA is not qualified by educa- 
tion and training to perform, including 
prescribing, ordering, or dispensing 



drugs not allowed by the A pproved For- 
mulary; 

(4) that the PA is impaired physically, men- 
tally, or professionally as a result of 
using mind-altering chemicals; 

(5) that the PA has been convicted in any 
court, of a felony or other criminal of- 
fense; 

(6) that the PA is adjudicated mentally in- 
competent or that the PA's mental or 
physical condition renders the PA unable 
to safely function as a PA; 

(7) that the PA has failed to comply with any 
of the provisions of this Subchapter. 

Statutory Authority G.S. 90-18(13). 

.0008 METHOD OF IDENTIFICATION 

The PA shall wear an appropriate name tag 
spelling out the words Physician Assistant-Appli- 
cant, Physician Assistant-Intern, or -Physician 
Assistant.- (Physician Assistant-Certified and 
Physician Assistant-CME categories may use the 
title Physician Assistant.) 

Statutory Authority G.S. 90-18(13). 

.0009 SUPERVISION OF A PA 

Supervision shall be provided by the responsible 
physician as follows: 



(1) 
(a) 



(b) 



{£> 



(2) 
(a) 



(b) 



(c) 



Availability: 
The supervising physician shall be 
available for direct communications by 
radio, telephone, or telecommunica- 
tions. 

The supervising physician shall be 
available on a regularly scheduled basis 
for referrals of patients from the PA. 
A PA cannot be supervised by a prima- 
ry supervising physician who is more 
than thirty (30) miles away without 
special permission of the Board. 

Written Standing Orders: 
The supervising physician shall provide 
in each practice location, for use by the 
PA and for referral by other personnel, 
written standing orders and drug proto- 
cols to cover most commonly encoun- 
tered problems in the practice setting. 
The written standing orders shall in- 
clude a predetermined plan for e m e r 
g e ncy s ervic es life or limb threatening 
emergencies . 

The PA shall refer a patient to another 
physician other than an approved super- 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2448 



PROPOSED RULES 



vising physician only in accordance 
with written standing orders. 

(d) Blanket written standing orders shall 
not include the use of controlled sub- 
stances or drugs excluded by the For- 
mulary. 

(e) Only patient specific standing orders 
given to the Physician Assistant by the 
supervising physician before treatment 
is rendered may include controlled 
substances or other therapeutics exclud- 
ed by the Formulary. 

(3) Countersigning: 

fe-) (a) All entries by a PA into patient 
charts in all approved practice locations 
must be countersigned by the supervis- 
ing physician. Entries include, but are 
not limited to: progress notes; treat- 
ment rendered; tests or procedures 
ordered; and notations of prescriptions 
or orders, and drugs dispensed or ad- 
ministered. 

(ft) |b] The time interval between the PA's 
contact with the patient and chart re- 
view and countersigning by the super- 
vising physician shall be 73 — hours 
specified on the Statement of Approval 
in accordance with Rule .0003 of this 
Subchapter. 

fb) {c] A longer countersigning time inter- 
val may be considered by the Board 
upon specific request. The request 
should explain the practice circumstanc- 
es which necessitate the longer counter- 
signing interval. 

(4) Supervision Arrangements: 

(a) The intent of the Board in detailing 
supervision arrangements is to seek to 
solve the problem of the very small 
commun ities where t here is no care. 
The practice for that extender is an 
extension of the physician's practice, 
wherever that physician may physically 
be located. Patients would identify and 
know the physician and the physician 
will be on site a specified number of 
hours a week to supervise the extender 
and take care of the patients. If the 
patient should require care in the hospi- 
tal setting, the same physician would be 
available to provide such care. 

(b) These three elements of supervision 
must be present: 

(i) The first element of supervision in- 
volves on-site supervision including 



the examination of patients by the 
physician with the off-site extender to 
make a diagnosis and treatment plan 
to assess the quality of the care being 
provided. For example, if a patient 
were to present as too complicated for 
a telephone consultation, the physician 
would examine the patient, review the 
data, make a diagnosis, and through- 
out the process assess the extender's 
abilities, 
(ii) The second element of supervision js 
chart review of those charts of pa- 
tients seen solely by the extender 
since the physician's last visit. These 
would be kept on-site and the physi- 
cian would review these in the pres- 
ence of or with the extender nearby, 
(iii) The third element is written standing 
orders or protocols as outlined in 
Rule .0009(2) of this Subchapter. 
(a) (c) If the PA is to perform duties away 
from the supervising physician, the 
application must clearly specify the 
circumstances which would justify this 
action and the supervisory arrangements 
established to protect the patient, 
fb) (d) Details must be submitted describ- 
ing distance, travel time topography , 
physical characteristics, and communi- 
cation ability between the PA and the 
supervising physician. 
(e) Since the patients of physician assistants 
are in reality the patients of the primary 
supervising physician, the primary 
physician must be on-site a minimum of 
four hours a week for rural health 
clinics as defined in Rule .0001(15) of 
this Subchapter and eight hours a week 
in all other sites. 
(i) Any exceptions to this rule must be 
specifically requested on the applica- 
tion form and will be reviewed by the 
Board on an individual basis, 
(ii) Patients requiring continuing care 
should be seen by a supervising physi- 
cian at least once every 12 months. 
(5) Supervising Physicians: 
(a) A physician in a graduate medical 
education program, whether fully li- 
censed or holding only a resident's 
training license, cannot be named as a 
supervising physician. 

fb-) A — phy s ician — m — a — graduate — m e d i cal 

e ducation program who is a l so practic 



2449 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



mg — ifl — a — non training — s ituation — may 
supervis e — physician — a ss i s tant s — m — the 
non training s ituation if fully lic e n se d. 
(e) (b) All physicians who «ay supervise 
the PA in any manner must be 
approved by the Board before the PA 
supervision occurs. 

(c) All supervising physicians must sign the 
statement of "Certification of 
Understanding and Compliance" as part 
of the application for approval which 
certifies that the physicians and PA 
applicant have carefully read and 
understand the statutes and rules 
regarding physician assistants and agree 
that such statutes and rules will be fully 
complied with by the PA applicant and 
supervising physicians. The 
supervising physician must also accept 
responsibility for the applicant's 
conduct as a physician assistant under 
his/her supervision and indicate 
understanding that conduct which 
violates the statutes and rules governing 
physician assistants may subject the 
physician to sanctions by the Board 
including suspension or revocation of 
the physician's license to practice 
medicine in North Carolina. 

(d) The supervising physician must be able 
to perform any task he assigns to the 
PA. 

(6) The PA must be prepared to demonstrate 
upon request to a member of the Board, 
or its delegates! 

(a) the ability to perform the medical acts 
assigned by the supervising physician; 
and 

(b) compliance with statutes, rules, and the 
Approved Formulary. 

Statutory Authority G.S. 90-18(13). 

.0010 CORE MEDICAL ACTS 

The physician assistant js academically and 
clinically prepared by training to provide health 
care services with the direction and supervision of 
a qualified and licensed physician. The following 
core medical acts include performing diagnostic, 
therapeutics, and preventive and health mainte- 
nance services |n any setting in which the physi- 
cian renders care, |n order to allow more effective 
and focused application of the physician's particu- 
lar knowledge and skills. 

Physician assistants generally are trained to carry 



out the following core medical acts as delegated to 
him/her by the supervising physician. 
( 1 ) Establish health status data base. 

(a) Establish effective interpersonal rela- 
tionships with patients. 

(i) Respect the feelings and attitudes of 
patients. 

(ii) Demonstrate caring by attitude ex- 
pressed to patients. 

(iii) Respond to personal and cultural 
factors affecting patients. 

(iv) Practice effective interviewing skills. 

(b) Obtain a comprehensive or problem- 
specific history' for a patient of any age 
by eliciting historical information jn the 
following areas: 

(i) chief complaint; 
(ii) history of present illness; 
(iii) past medical history; 
(iv) family history; 

(v) psychosocial history, including health 
risk factors and current life situation; 
(vi) review of systems. 

(c) Perform a complete or problem-focused 
physical examination for a patient of 
any age. 

(d) Order and/or perform diagnostic tests, 
(i) Perform the following screening tests: 

(A) Denver Developmental Screening 
Test; 

(B) visual acuity with Snellen test; 

(C) electrocardiogram; 

(D) tuberculin skin test; 

(E) urinalysis; 

(F) stool test for occult blood: 

(G) routine specimen plating; 
(H) gram stain; 

(I) K.OH preparation and hanging 

drop; 
(J) intradermal testing for allergies 

(under physician supervision): 
(K) hematocrit; 
(L) white blood cell count: 
(M) peripheral blood smear; 
(N) throat culture; 
(O) PAP smear; 
(ii) Understand the indications for and 
significance of abnormal results for: 
(A) blood chemistries; 
IB) VDRL: 

(C) ELISA and Western Blot HIV 
tests; 

(D) tests of blood glucose; 

(E) complete blood count: 

(F) arterial blood gases; 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2450 



PROPOSED RULES 



(G) triglycerides and cholesterol; 
(H) sedimentation rate; 
(I) coagulation studies; 
(J) pregnancy tests; 
(K) PAP smears; 
(L) urinalysis and culture; 
(M) GC and Chlamydia cultures; 
(N) thyroid function studies; 
(O) liver function tests; 
(P) cardiac enzymes; 
(Q) diagnostic x-rays; 
(iii) Obtain the following specimens for 
laboratory evaluation: 

(A) blood; 

(B) urine; 

(C) stool; 

(D) vaginal secretions and cervical 
scrapings; 

(E) wound exudate; 

(F) sputum. 

(e) Record and communicate findings by: 

ii] presenting a complete, clear and 
concise summary of pertinent aspects 
of the history and physical examina- 
tion m w ritten form and orally: and 
(ii) preparing discharge summaries, prog- 
ress notes, admission orders, pre and 
post-operative notes. 
(2) Analyze data base and formulate manage- 
ment plan. 

(a) Differentiate between normal and ab- 
normal findings for a patient of any 
age. 

(b) Develop a differential diagnosis based 
on data obtained. 

(c) With physician guidance, have an un- 
derstanding of current diagnosis and 
treatment of the following common 
problems encountered in the physician's 
practice: 

abdominal pain: 

abortion, spontaneous; 

acid-base disturbances; 

AIDS: 

alcohol abuse: 

allergies; 
(vii) amenorrhea, menorrhagia. metrorrha- 
gia; 
( viii) anal disorders: 
(ix) anemia: 
(x) angina; 
fxil 



iii) 
iiiD 

ii\ ) 

LXl 
(vi 



arteriosclerosis; 



(xii) arthritis; 



(xiii) asthma: 
(xiv) back pain: 



(xv) breast cysts; 

(xvi) bronchitis; 

(xvii)burns; 

(xviii)bursitis; 

(xix) cataracts: 

(xx) cellulitis; 

(xxi) cerebrovascular accident; 

(xxii)chest pain; 

(xxiii)cholelithiasis. cholecystitis; 

(xxiv)congestive heart failure; 

(xxv)coniunctivitis and blepharitis; 

(xxvi)constipation. fecal impaction; 

(xxvii Contraception; 

(xxviii)coryza; 

(xxix)cough: 

(xxx)dementia (treatable and chronic); 

(xxxi (diabetes mellitus: 

(xxxii (diarrhea; 

(xxxiii)drug abuse: 

(xxxiv)drug reactions: 

(xxxv)dysmenorrhea; 

(xxxvi)ectopic pregnancy; 

(xxx vii (emphysema: 

(xxxviii (enuresis; 

(xxxix)epistaxis: 

(xl) fatigue; 

(xli) foreign body; 

( x 1 i i ) gastroenteritis: 

(xliii)glaucoma; 

(xliv)headaehe: 

(xlv) heat exhaustion/ stroke; 

(xlvi (hematuria: 

(xlvii)hemorrhoids: 

(xlviii)hernia; 

(xlix)hyperlipidemia: 

(1) hypertension; 

(li) hyperventilation; 

(Iii) insect bites; 

(liii) irritable bowel disease; 

(liv) lacerations, contusions, abrasions: 

(Iv) laryngitis and tracheitis; 

(lvi) melena and hematochezia; 

(lvii) menopausal symptoms; 

(h'iii (psychiatric disorders; 

(lix) nephrolithiasis; 

(lx) obesity and eating disorders: 

(lxi) osteoporosis; 

(lxii) otitis externa: 

(lxiii)otitis media, acute and serous: 

(Ixiv)peripheral vascular disease; 

(Ixv) pharyngitis and tonsillitis; 

(Ixvi)Pelvic Inflammatory Disease; 

(Ixvii)pleurisv; 

(lxviii)pneumonia: 

(lxix)pregnancy; 



I 



2451 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



(lxx) premenstrual syndrome; 
(Ixxi)prostatic hypertrophy; 
(Ixxii)rhinitis, allergic and vasomotor; 
(Ixxiii)sexually transmitted diseases; 
(lxxiv)sexual problems; 
(lxxv)sinusitis; 
(lxxvi)skin problems: 

(A) abscesses and cysts; 

dermatitis; 

nail and hair problems; 

warts; 



IE] 



infections and infestations; 
cutaneous manifestations of sys- 



temic disease; 
(G) neoplasm. 
(lxxvii)social problems: 
(A) economic; 



Hi 
ID 



educational; 
employment; 
housing; 
legal; 



recreational; 
lxxviii)sprains and strains; 



lxxix)thyroid problems; 



xxx)tobacco abuse; 



lxxxi)transient ischemic attack; 



lxxxii)ulcer disease, gastric and duodenal; 



lxxxiii)urethritis; 



xxxiv)urinary tract infection; 



lxxxv)vertigo and dizziness; 



lxxxvi)vaginitis. vulvitis, cervicitis; 



lxxxvii)viral illnesses. 



(3) Develop/formulate a health management 
plan using all necessary resources includ- 
ing: 

(a) the patient; 

(b) the supervising physician; 

(c) the patient's family and/or significant 
others; 

(d) other health professionals: 

(e) community resources; 

(f) past medical records. 

(4) Implement and monitor health manage- 
ment plan. 

(a) Determine the patient's understanding 
of his/her health problems and explain, 
in an understandable fashion, the prob- 
lem, purpose of treatment and manage- 
ment plan. 

(b) Perform t h e folio vv i n g 
therapies/procedures. 

(i) Administer medications: 

(A) oral; 

(B) topical; 

(C) sublingual; 



IB) 



rectal; 
inhalation. 



(ii) Administer medications only on the 
direct order of the supervising 
physician for the specific patient (see 
Rule .0005 of this Subchapter): 

(A) intravenous; 

(B) subcutaneous; 

(C) intradermal; 

(D) intramuscular. 

(iii) Perform intubations/cannulations: 

(A) urinary catheter ; straight to 
Foley; 

(B) nasogastric tube; 

(C) intravenous catheters to start IV 
therapy. 

(iv) Perform musculoskeletal therapies: 
(A) casting ; preparation, application. 



im 

ID] 

im 



of injured 
taping for 



removal; 
immobilization 
extremity; 
splinting/joint 
stabilization; 

measurement and adjustment of 
crutches; 

measurement and adjustment of 
orthopaedic appliances, 
(v) Perform pulmonary/ ENT7 interven- 
tions/therapies: 

(A) assist respiration using Ambu bag; 

(B) administer oxygen by mask or 
nasal cannula; 

(C) obtain oximeter readings; 

(D) ear and eye irrigations; 

(E) control simple anterior nasal 



(E) 



bleed; 

obtain throat culture; 



suction nose, mouth, posterior 



pharynx; 
(H) curette/irrigate impacted cerumen, 
(vi) Perform cardiovascular 
interventions/therapies: 

(A) administer CPR/BCLS; 

(B) perform ACLS; 

(C) measure central venous pressure; 

(D) perform 12 lead EKG. 

(vii) Perform gastrointestinal 
interventions/therapies: 

(A) irrigate gastrostomy: 

(B) perform gastric lavage; 

(C) perform stomal care/fit 
appliances; 

(D) remove fecal impaction; 

(E) give enema. 

(viii) Perform minor surgical interventions/therapies : 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2452 



PROPOSED RULES 



M 



tA) 


sterile technique; 


fffi 


wound care; 


(£] 


suture/staple lacerations. 




incisions; 


mi 


remove sutures/staples; 


J-J 


insert/remove packing in wounds; 


ifj 


control bleeding/ hemorrhage; 


iG] 


incise and drain abscess; 


Iffi 


apply dressings and wraps; 


m 


apply burn dressings; 


m 


assist in operating room as 




directed. 


(ix) Initiate emergency treatment 


according to written standing orders: 


(A) 


anaphylaxis, severe drug reaction; 


1B1 


shock; 


l£l 


lacerations; 


(D) 


sprains and strains; 


IE) 


fractures; 


if] 


hemorrhage, internal and external; 


(G) 


respiratory compromise/arrest; 


(H) 


cardiac arrest; 


m 


acute myocardial infarction; 


in 


seizures; 


OQ 


psychiatric crises; 


iLi 


burns; 


(Ml 


bites; 


1NJ 


altered states of consciousness; 


iOl 


insulin shock/hypo glycemia; 


IE) 


heat exhaustion/stroke; 


(Q) 


poisonings and intoxications; 


IE1 


traumatic amputations; 


IS) 


spinal cord injury: 


ill 


eye lniurv: 


on 


head, chest, abdominal injury; 


iYi 


near drowning; 


(W) 


hypothermia; 


iXl 


dehydration; 


DQ 


precipitous delivery: 


ill 


neonatal apnea. 


Provide patient education and 


counseling. 


ill Di 


scuss preventive health care 


measures including but not limited to: 


(A) 


use of seat belts and child 




restraints: 


mi 


exercise and diet: 


mi 


tobacco, alcohol and drug abuse; 


mi 


dental hygiene: 


mi 


breast self-exam; 


mi 


PAP smear; 


mi 


testicular self-exam; 


mi 


"safe sex" and HIV prevention: 


m 


warning signs of cancer; 


'A' 


periodic health screening exams; 



(K) accident prevention/child-proofing 

homes; 
(L) immunizations; 
(M) smoke detectors in the home, 
(ii) Teach patient and family about: 

(A) nutrition; 

(B) poisoning prevention; 

(C) lead poisoning prevention: 

(D) first aid; 

(E) infection prevention; 

(F) congenital abnormalities: 

(G) handicapping conditions; 
(H) administering injections; 
(I) use of vaporizer; 

(J) accessing resources in community; 
(K) home treatment of minor 

symptoms: 
(L) toilet training; 
(M) sleep problems; 
(N) growth and developmental tasks 
for appropriate ages, 
(iii) Offer support to family dealing with 

patient's condition, 
(iv) Counsel patients concerning: 

(A) anxiety reactions; 

(B) maladaptive disorders; 

(C) depression; 

(D) aging adjustments: 

(E) grieving process; 

(F) problems of adolescence: 

(G) behavioral problems of children. 
adults; 



ill 



chronic illness; 
terminal illness; 
substance abuse issues. 



(v) Adapt to a variety of settings where 
health care may be rendered, for 



example: 
(A) ambulatory care center: 
acute care setting: 
home; 



rest home or domiciliary care; 
intermediate care facility 



mi 
mi 

(D) schools: 

mi 
m 

extended care facilities. 

(d) Maintain attitudes and attributes 

essential to the role of the physician 

assistant. 

(i) Be humane, give care, understanding 

and consideration of the highest level 



of excellence, 
(ii) Respect the privacy of your patient, 
(iii) Respect and keep the confidentiality 

given you by your patient, 
(iv) Be aware of your limitations j_n 



2453 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



PROPOSED RULES 



knowledge and seek help and advice 

and close supervision when it is 

needed, 
(v) Do not hesitate to refer problems 

beyond your competency. 
(vi) Seek and integrate constructive 

criticism concerning your judgment 

and performance, 
(vii) Maintain and expand your knowledge 

base by seeking appropriate CME. 
(viii) Resist compromises in the practice of 

medicine. 
(ix) Read and incorporate the position 

statements of the Board into your 

practice. 
(5) Special Procedures: 

(a) Any procedure to be performed by the 
Physician Assistant not included in Item 
(7) of this Rule must be listed on the 
application form along with a statement 
signed by the primary supervising 
physician that this physician personally 
attests to the qualifications of the 
applicant and the supervising physician 
to perform these special procedures. 

(b) Special procedures that must be 
specifically requested include but are 
not limited to the following: 

proctosigmoidoscopy; 

joint aspirations; 

lumbar puncture; 

bone marrow aspiration; 

thoracentesis and paracentesis; 

tissue biopsy; 
(vii) cerebrospinal fluid; 
(viii) endotracheal intubation; 
(ix) obtain arterial blood gas; 

interpret EKG; 

administer local anesthesia including 

digital blocks; 



til 

£ii) 

(iii) 
(iv) 
iv] 
lYiJ 



ix] 
(xi) 



(xii) perform skin biopsy; 
(xiii) remove foreign bodies; 
(xiv) treat warts; 

(xv) relieve subungual hematoma; 
(xvi) remove ingrown toenail. 

(c) At the time of biennial registration, the 
primary supervising physician must sign 
a statement personally attesting to the 
PA's continued ability to perform all 
acts previously approved. 

(d) If the primary supervising physician 
wishes to add special procedures for a 
physician assistant currently approved 
under his supervision between biennial 
registrations, these changes must be 



specifically requested and approved by 
the Board prior to implementation. 

Statutory Authority G.S. 90-18(13). 

tOWG .0011 BIENNIAL REGISTRATION 
OF PA APPROVAL 

(a) Physician Assistants approved under these 
Rules shall register their approval biennially 
annually with the Board by July 1 of each odd- 
numbered year on forms supplied by the Board 
and shall be accompanied by a registration fee ef 
thirty five dollars ($35.00) not to exceed two 
hundred dollars ($200.00) and the following 
documentation: 

( 1 ) Individuals approved after June _L 
1993, must provide documentation of 
current NCCPA certification and one 
hundred ( 100) hours of Category I 
CME within the past two years; 

(2) Individuals approved before June Lj 
1993 must provide documentation of 
one hundred (100) hours Category I 
CME within the past two years 
approved by the AAPA at the July 1995 
registration. 

(b) In the event failur e to r e gister continu e s one 
fails to register for a period of thirty (30) 30 days, 
formal action may be taken against the approval of 
the PA by the Board after notice and hearing in 
accordance with G.S.150B-38. 

Statutory Authority G.S. 90-15.1. 

T0O44 .0012 FEES 

(a) An application fee of on e hundr e d and fifty 
dollar s ($150.00) two hundred dollars ($200.00) 
shall be paid at the time of the initial application 
for approval and each subsequent application for 
job change. 

(b) An application fee of one hundred dollars 
($100.00) one hundred and fifty dollars ($150.00) 
shall be paid at the time of application for a 
change of primary supervising physician when that 
is the only change in the PA employment situation. 

(c) The fee for annual biennial registration, due 
July 1 every odd-numbered year is thirty fiv e 
dollars ($35.00) one hundred dollars ($100.00) or 
as determined by the Board. 

(d) No portion of the above fees in this Rule is 
refundable. 

Statutory Authority G.S. 90-15. 

mt2 .0013 PA FORMS 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2454 



PROPOSED RULES 



The following documents regarding physician 
assistants may be obtained from the Board's office: 
( 1 i Rules for Approval of Physician Assis- 
tants. Subchapter 32L: a 

(2) Approved Formulary; I 

(3) North Carolina Laws Regarding Physi- 
cian Assistants, G.S.90-18( 13) and 90- 
18.1; 

1 4) Application for PA Approval; 

(5) Statement of Approval, upon being ap- 
proved; 

(6) Application for Annual Biennial Registra- 
tion, mailed during June of every odd- 
numbered year to all Physician Assistants 
approved by May 1 of even,' odd-num- 
bered year ; and 

(7) Certificate of Registration, upon register- 
ins. 



Statutory Authority G.S. 150B-11. 



I 



2455 7:21 NORTH CAROLINA REGISTER February 1, 1993 



RRC OBJECTIONS 



1 he Rules Review Commission (RRC) objected to the following rules in accordance with G.S. 
143B-30.2(c). State agencies are required to respond to RRC as provided in G.S. 143B-30.2(d). 



COMMERCE 
Departmental Rules 

4 NCAC IK .0103 - Eligible Applicants 

Agency Revised Rule 
4 NCAC IK .0204 - Discretionary Public Hearing by the Department 

Agency Revised Rule 
4 NCAC IK .0205 - Formal Application Procedures: Approval 

Agency Revised Rule 
4 NCAC IK .0206 - Formal Application Procedures: Denial 

Agency Revised Rule 
4 NCAC IK .0207 - Reimbursement of Extraordinary Expense 

Agency Revised Rule 
4 NCAC IK .0302 - Criteria for Making Necessary Findings 

Agency Revised Rule 

ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Coastal Management 

15A NCAC 7H .0308 - Specific Use Standards for Ocean Hazard Areas 
Rule Returned to Agency 

Environmental Management 

15A NCAC 2H .0805 - Certification and Renewal of Certification 
Agency Revised Rule 
Rule Returned to Agency 
Agency Filed with OAH 

Governor's Waste Management Board 

I5A NCAC 14C .0005 - Conditions for Grants 
Agency Revised Rule 

Solid Waste Management 

15 A NCAC 13B .0103 - Genera! Conditions 
Agency Revised Rule 

Wildlife Resources and Water Safety 

15A NCAC 101 .0001 - Definitions 
Agency Responded 
Agency Responded 

HUMAN RESOURCES 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



11/19/92 
12/17/92 
11/19/92 
12/17/92 
11/19/92 
12/17/92 
11/19/92 
12/17/92 
11/19/92 
12/17/92 
11/19/92 
12/17/92 



RRC Objection 11/19/92 

12/17/92 



RRC Objection 10/15/92 

RRC Objection 10/15/92 

11/19/92 

Eff. 12/21/92 



RRC Objection 12/17/92 
Obj. Removed 12/17/92 



RRC Objection 1 2/1 7/92 
Obj. Removed 12/17/92 



RRC Objection 10/15/92 
No Action 11/19/92 

No Action 12/17/92 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2456 



RRC OBJECTIONS 



Medical Assistance 



10 NCAC 26D .0012 - Time Limitation 

Agency Withdrew Rule 
10 NCAC26N .0201 - Offer to Counsel 

Agency Withdrew Rule 



RRC Ojbeetion 12/17/92 
12/17/92 

RRC Objection 12/17/92 
12/17/92 



Mental Health: General 

10 NCAC 14K .0103 - Definitions 
Agency Revised Rule 

INDEPENDENT AGENCIES 

N.C. Housing Finance Agency 



RRC Objection 12/17/92 
Obj. Removed 12/17/92 



24 NCAC 
No Re 
So Re 

24 NCAC 
No Re 
No Re 

24 NCA C 
No Re 
No Rt 

24 NCAC 
No Re 
No Ri 

24 NCAC 
No Re 
No Re 

24 NCAC 
No Re 
No Re 

24 NCAC 
No Re 
No Re 

24 NCA C 
No Re 
No Re 

24 NCAC 
No Re 
No Re 

24 NCAC 
No Re 
No Re 

24 NCAC 
No Re 
No Re 

24 NCAC 
No Re 
No Re 

24 NCAC 
No Re 
Vo A\ 



1M .0202 -Eligibility 

■sponse from Agency 

•spouse from Agency 

1M . 0204 - Selection Procedures 

sponse from Agency 

■sponse from Agency 

1M .0205 - Administration 



■sponse fror 
sponse fror 
1M .0206 



sponse from Agency 



sponse fror 
1M .0301 
sponse fror, 
sponse fror 
1M .0302 
sponse fror, 
sponse fror 
1M .0303 
sponse froi 
■sponse frot 
1M .0306 
■sponse froi 



sponse from Agency 



1M .0401 
sponse froi 

sponse fror 
I M .0402 ■ 
sponse fror 
sponse froi 
1M .0403 ■ 
sponse fror 
sponse froi 
1M .0404 ■ 
sponse fror, 
sponse fror. 
1M .0405 
sponse fror. 
sponse fror, 



i Agency 
; Agency- 
Program Fees 



i Agency 
Goal and Objectives 

I Agency 

i Agency- 
Eligibility Requirements 

i Agency 

i Agency 
Threshold Review Criteria 

i Agency 

i Agency 
Funding Commitment 

i Agency- 



Goals and Objectives 

i Agency 

i Agency- 
El igibi lity Requirements 

i Agency 

i Agency 
Threshold Review Criteria 

i Agency 

i Agency 
Ranking Criteria 

i Agency 

i Agency- 
Agency Board Approval 

i Agency 

i Agency 



RRC Objection 
No Action 
No Action 
RRC Objection 
No Action 
No Action 
RRC Object i on 
No Action 
No Action 
RRC Objection 
No Action 
No Action 
RRC Objection 
No Action 
No Action 
RRC Objection 
No Action 
No Action 
RRC Objection 
No Action 
No Action 
RRC Objection 
No Action 
No Action 
RRC Objection 
No Action 
No Action 
RRC Objection 
No Action 
No Action 
RRC Objection 
No Action 
No Action 
RRC Objection 
No Action 
No Action 
RRC Objection 
No Action 
No Action 



10/15/92 
11/19/92 
12/17/92 
10/15/92 
11/19/92 
12/17/92 
10/15/92 
11 19/92 
12/17/92 

10 15/92 
11/19/92 
12/17/92 
10' 15/92 

11 19/92 
12/17/92 
10/15/92 

11 19/92 
12/17/92 
10/15/92 
11/19/92 
12/17192 
10/15/92 
11/19/92 
12/17 '92 
10 15 92 
11/19/92 

12 17 92 
10/15/92 
11/19/92 
12/17/92 

10 15 92 

11 19 92 
12/17/92 
10/15/92 
11 '19/92 
12/17/92 
10/15/92 
11/19/92 
12/17/92 



2457 



7:21 



NORTH CAROLINA REGISTER 



Februan- 1, 1993 



RRC OBJECTIONS 



INSURANCE 

Agent Services Division 

// NCAC 6A .0802 - Licensee Requirements 
Agency Revised Rule 

Departmental Rules 

// NCAC 1 .0432 - Manufactured Housing Board Hearings 
Agency Withdrew Rule 

Financial Evaluation Division 

11 NCAC 11 A .0602 - Licensure 
Agency Revised Rule 
Rule Returned to Agency 

Multiple Employer Welfare Arrangements 

11 NCAC 18 .0019 - Description of Forms 

Seniors' Health Insurance Information Program 

11 NCAC 17 .0005 - SHIIP Inquiries to Insurers and Agents 

LICENSING BOARDS AND COMMISSIONS 

Architecture 

Cosmetic Art Examiners 

21 NCAC 14L .0301 - Applicants Licensed as Teachers in Other States 

Agency Revised Rule 
21 NCAC 14L .0302 - Requirements for Obtaining a Teacher's License 

Agency Revised Rule 

General Contractors 

21 NCAC 12 .0901 - Definitions 

Agency Revised Rule 
21 NCAC 12 .0908 - Order Directing Payment from Fund 

Agency Revised Rule 
21 NCAC 12 .0910 - Limitations; Pro Rata Distribution 

REVENUE 

Individual Income, Inheritance and Gift Tax Division 

17 NCAC 3B .0401 - Penalties 
17 NCAC 3B .0402 - Interest 

Individual Income Tax Division 

/ 7 NCAC 6B . 0107 - Extensions 



RRC Objection 12/17/92 
Obj. Removed 12/17/92 



RR C Objection 12/1 7/92 
12/17/92 



RRC Objection 11/19/92 

RRC Objection 11/19/92 

12/17/92 



RRC Objection 06/18/92 



RRC Objection 06/18/92 



RRC Objection 11/19/92 

Obj. Removed 12/17/92 

RR C Objection 11/1 9/92 

Obj. Removed 12/17/92 



RRC Objection 12/17/92 

Obj. Removed 12/17/92 

RRC Objection 12/17/92 

Obj. Removed 12/17/92 

RRC Objection 12/17/92 



RRC Objection 08/20/92 
RRC Objection 08/20/92 



RRC Objection 08/20/92 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2458 



RRC OBJECTIONS 



17 NCAC 6B .01 15 - Additions to Federal Taxable Income 
17 NCAC 6B .01 16 - Deductions from Federal Taxable Income 
1 7 NCA C 6B .0117 - Transitional Adjustments 
1 7 NCA C 6B . 3406 - Refunds 



RRC Objection 
RRC Objection 
RRC Objection 
RRC Objection 



08/20/92 
08/20/92 
08/20/92 
08/20/92 



( 



I 



2459 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



RULES INVALIDATED BY JUDICIAL DECISION 



1 his Section of the Register lists the recent decisions issued by the North Carolina Supreme Court, 
Court of Appeals, Superior Court (when available), and the Office of Administrative Hearings which 
invalidate a rule in the North Carolina Administrative Code. 



1 NCAC 5 A .0010 - ADMINISTRATIVE PROCEDURES 

Thomas R. West, Administrative Law Judge with the Office of Administrative Hearings, declared two portions 
of Rule 1 NCAC 5 A .0010 void as applied in Stauffer Information Systems, Petitioner v. Tlw North Carolina 
Department of Community Colleges and Tlie North Carolina Department of Administration, Respondent and 
Tlie University of Southern California, lntervenor-Respondent (92 DOA 0666). 

15A NCAC 19A .0202(d)(10) - CONTROL MEASURES - HIV 

Brenda B. Becton, Administrative Law Judge with the Office of Administrative Hearings, declared Rule 15A 
NCAC 19A .0202(d)( 10) void as applied in ACT-UP TRIANGLE (AIDS Coalition to Unleash Power Triangle). 
Steven Harris, and John Doe, Petitioners v. Commission for Health Services of the State of North Carolina. 
Ron Levine, as Assistant Secretary of Health and State Health Director for the Department of Environment, 
Health, and Natural Resources of the State of North Carolina, William Cobey, as Secretary of the Department 
of Environment, Health, and Natural Resources of the State of North Carolina, Dr. Rebecca Meriwether, as 
Chief, Communicable Disease Control Section of the North Carolina Department of Environment, Health, and 
Natural Resources, Wayne Babbitt Jr. , as Chief of the HIV/STD Control Branch of the North Carolina 
Department of Environment, Health, and Natural Resources, Respondents (91 EHR 0818). 



7:21 NORTH CAROLINA REGISTER February 1, 1993 2460 



CONTESTED CASE DECISIONS 



1 his Section contains the full text of some of the more significant Administrative Law Judge decisions 
along with an index to all recent contested cases decisions which are filed under North Carolina 's 
Administrative Procedure Act. Copies of the decisions listed in the index and not published are available 
upon request for a minimal charge by contacting the Office of Administrative Hearings, (919) 733-2698. 



KEY TO CASE CODES 



ABC Alcoholic Beverage Control Commission DST 

BDA Board of Dental Examiners EDC 

BME Board of Medical Examiners EHR 

BMS Board of Mortuary Science 

BOG Board of Geologists ESC 

BON Board of Nursing HAF 

BOO Board of Opticians HRC 

CFA Commission for Auctioneers IND 

COM Department of Economic and Community INS 

Development LBC 

CPS Department of Crime Control and Public Safety MLK 

CSE Child Support Enforcement NHA 

DAG Department of Agriculture OAH 

DCC Department of Community Colleges OSP 

DCR Department of Cultural Resources PHC 

DCS Distribution Child Support 

DHR Department of Human Resources POD 

DOA Department of Administration SOS 

DOJ Department of Justice SPA 

DOL Department of Labor 

DSA Department of State Auditor WRC 



Department of State Treasurer 
Department of Public Instruction 
Department of Environment, Health, and 
Natural Resources 
Employment Security Commission 
Hearing Aid Dealers and Fitters Board 
Human Relations Committee 
Independent Agencies 
Department of Insurance 
Licensing Board for Contractors 
Milk Commission 

Board of Nursing Home Administrators 
Office of Administrative Hearings 
Office of State Personnel 
Board of Plumbing and Heating 
Contractors 

Board of Podiatry Examiners 
Department of Secretary of State 
Board of Examiners of Speech and Language 
Pathologists and Audiologists 
Wildlife Resources Commission 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


James Meachem Jr. 

v. 

NC Agricultural & Technical State University 


91 OSP 0106 


Morrison 


01/07/93 


Alan Dean Enwright 

v. 

DHR, Division of Social Services. CSE 


91 CSE 1040 


Becton 


01/06/93 


Jeffrey W. Burgmeier 

v. 

DHR. Division of Social Services, CSE 


91 CSE 1052 


Nesnow 


01/06/93 


Rhonnie James Williams 

v. 

DHR. Division of Social Services, CSE 


91 CSE 1073 


Becton 


01/06/93 


Phillip A. Brooks 

v. 

DHR. Division of Social Services. CSE 


91 CSE 1145 


Mann 


01/07/93 



2461 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


John Lee Morris Sr. 

v. 

University of North Carolina at Chapel Hill 


91 OSP 1161 


Morgan 


01/07/93 


John T. Adams 

v. 

DHR, Division of Social Services, CSE 


91 CSE 1242 


Mann 


01/07/93 


Keith M. Edwards 

v. 

University of N.C. at Chapel Hill, Public Safety Dept. 


91 OSP 1368 


Gray 


01/15/93 


Kathleen L. Dorsey 

v. 

University of North Carolina at Wilmington 


92 OSP 0636 


Morrison 


01/15/93 


Kenny Wayne Thompson 

v. 

N.C. Criminal Justice Ed & Training Stds Commission 


92 DOJ 0641 


Mann 


01/15/93 


Wayne C. Almond 

v. 

Stanly County Health Department. EHR 


92 EHR 0683 


West 


01/19/93 


Ms. Joyce Ann Davis T/A Joyce's Grill, 505 Horton St, 

Zebulon. NC 27597 

v. 

Alcoholic Beverage Control Commission 


92 ABC 0739 


Chess 


01/06/93 


Gerald D. Williams 

v. 

DHR. Division of Social Services, CSE 


92 CSE 0769 


Morrison 


01/06/93 


Bobby Ray Roberson 

v. 

Department of Environment. Health, & Natural Resources 


92 EHR 0845 


Reilly 


01/12/93 


David Ray Shumate 

v. 

N.C. Alarm Systems Licensing Board 


92 DOJ 0943 


West 


01/07/93 


Lawyer E. Crawford 

v. 
John Umstead Hospital 


92 OSP 1 107 


Nesnow 


01/07/93 


Alice Mobley, Gene Mobley 

v. 

DHR, Division of Facility Services 


92 DHR 1126 


Nesnow 


01/08/93 


Enviro-Soil, Inc., Matthews, N.C. 

v. 

N.C. Environmental Mgmt Comm. File GW-92-54FT 


92 EHR 1 1 32 


Gray 


01/12/93 


Dillingham Construction Co., Inc. 

v. 

EHR, Asbestos Hazard Management Branch 


92 EHR 1 1 36 


Morgan 


01/05/93 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2462 



CONTESTED CASE DECISIONS 



CASE NAME 


CASE 
NUMBER 


ALJ 


FILED 
DATE 


Geraldine Herring 

v. 
Department of Correction 


92 OSP 1730 


Gray 


01/12/93 



2463 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 



COUNTY OF DURHAM 



IN THE OFFICE OF 
ADMINISTRATTVE HEARINGS 
91 OSP 1161 



JOHN LEE MORRIS SR. 
Petitioner, 



UNIVERSITY OF NORTH CAROLINA AT 
CHAPEL HILL 

Respondent. 



RECOMMENDED DECISION 



The above-captioned matter was heard by Michael Rivers Morgan, Administrative Law Judge, on June 
29, June 30 and July 2, 1992 in Durham, North Carolina. 

APPEARANCES 

John Lee Morris, Sr., pro se. 

Barbara A. Shaw, Assistant Attorney General, for the Respondent. 

ISSUES 

1. 
2. 



Whether the Respondent had just cause to dismiss the Petitioner from its employ; 



Whether the Respondent discriminated against the Petitioner on the basis of race in dismissing 
the Petitioner from its employ. 

STIPULATED FACTS 



The parties stipulated and agreed to the following facts in the Prehearing Order filed on June 24, 



1992: 



The Petitioner, Mr. Morris, was employed by the Respondent beginning October 15, 1990 as a 
Laborer, pay grade 50. His pay grade remained the same throughout his period of employment with the 
Respondent. He was terminated from employment by Respondent effective August 29, 1991. 

FINDINGS OF FACT 

Based upon the evidence admitted at the hearing, the undersigned administrative law judge finds the 
following facts: 

1 . The Petitioner's job duties with the Respondent included cleaning, cutting grass and similar 
miscellaneous work while assigned to a grounds crew. 

2. Demetrious Flythe and Karen Lovick were employed with the Respondent's Physical Plant 



7:27 



NORTH CAROLINA REGISTER 



February I, 1993 



2464 



CONTESTED CASE DECISIONS 



Department, Grounds Division during the months of February and March of 1991. 

3. On February 5, 1991, Flythe reported to her supervisor Beverly Junkin that on the previous day of 
February 4. 1991 , the Petitioner handed Flythe an envelope and asked her not to open it until she was 
alone, because it should be a secret between the Petitioner and Flythe. 

4. Flythe subsequently opened the envelope and found that it contained two romantic cards. 

5. At the bottom of one of the romantic cards, the Petitioner wrote that he thought about Flythe 
everyday, that he thought Flythe was beautiful, that seeing Flythe everyday "made" his day, that the 
Petitioner wanted Flythe to go to church with him on Sunday, that he dreamed of squeezing Flythe 
tight in his arms at night and that he hoped the Lord would forgive him for saying it. 

6. The second romantic card which was enclosed in the envelope which the Petitioner gave to Flythe on 
February 4, 1991 contained $27.00 in cash, with a handwritten note inside the card which stated that 
the number 27 was the Petitioner's lucky number and that the Petitioner wanted Flythe to have the 
money inside the card. 

7. Flythe told Ms. Junkin on February 5, 1991 that Flythe felt that she could handle the situation herself 
involving the Petitioner. 

8. On February 5. 1991 at 1:20 PM. the Petitioner called Flythe by telephone at a time when the 
Petitioner was expected to be working. Flythe told the Petitioner that she did not want the Petitioner 
to call her again or make any comments to her unless they were related to work and could not be 
answered by the Petitioner's immediate supervisor. The Petitioner stated that he was sorry if he had 
offended Flythe. 

9. Flythe informed Ms. Junkin about the telephone call which Flythe had received from the Petitioner 
on February 5, 1991 at 1:20 PM. 

10. Ms. Junkin instructed Flythe to report the incident involving Flythe and the Petitioner to Larry 
Trammel, the Respondent's Grounds Superintendent. 

1 1 . Flythe informed Trammel about the incidents involving Flythe and the Petitioner, after which 

Trammel offered to intervene in this matter. 

12. Flythe requested that Trammel give her one more chance to handle the situation between the 
Petitioner and Flythe. 

13. On February 6, 1991, the Petitioner approached Flythe at her work area, stated that he was sorry if 
Flythe had taken what the Petitioner had done the wrong way and told Flythe that he had been known 
to "offer up to $50.00." 

14. For a time period of several days immediately after February 5, 1991. Flythe noticed the Petitioner 
"hanging around" in the parking lot where Flythe parked her vehicle, although the Petitioner's vehicle 
parking area was located in an entirely different place. 

15. On or about October 29. 1990, which was approximately two weeks after the Petitioner began his 
employment with the Respondent, Flythe responded to questions from the Petitioner about her 
personal life by telling him that she was "very happily married." 

16. On March 19. 1991. Lovick reported to her supervisor Tom Sudderth, before beginning work for the 



2465 7:21 NORTH CAROLINA REGISTER February 1, 1993 



CONTESTED CASE DECISIONS 



day, that the Petitioner had made several statements to Lovick in the immediate preceding days which 
she stated she did not appreciate, did not feel she should have to tolerate and had made her feel 
extremely uncomfortable. 

17. Lovick informed Sudderth that on March 15, 1991, the Petitioner joined Lovick as she went to her 
vehicle parking lot at the conclusion of the work day. The Petitioner told Lovick that he wanted the 
two of them to be friends, that he was not getting along with his wife and that he would like to take 
Lovick to lunch. Lovick replied that she had a boyfriend, planned to be married in three months and 
that she and the Petitioner could only be friends. 

18. After Lovick was absent from work on March 18, 1991 on sick leave, the Petitioner called out to 
Lovick as she walked to work on the following day of March 19, 1991 . The Petitioner asked Lovick 
how she was doing, told her that he hoped that she was feeling better and then the Petitioner said "I 
think it's love." Lovick told the Petitioner that she did not want to hear that. The Petitioner then told 
Lovick not to tell anyone about this and that it would be their secret. Lovick said to the Petitioner 
that the Petitioner was married, that he should be telling this to his wife and that Lovick did not want 
to hear anything else. The Petitioner then told Lovick that he had a gift for Lovick in his vehicle and 
would give it to her later in the afternoon after work. Lovick informed the Petitioner that she did not 
want a gift, did not want to listen to anything that he had to say and did not want to talk to him any 
more. Lovick then walked away, arrived at work and reported the incidents involving the Petitioner 
and her to Sudderth. 

19. Later in the day on March 19, 1991. a meeting was conducted in Trammel's office which was 
attended by Trammel, Lovick, Sudderth, Junkin, Grounds Supervisor Paul Rigsbee, the Petitioner's 
field supervisor Jackson Lassiter and the Petitioner. 

20. In the meeting of March 19, 1991, Trammel asked Lovick to recount the details of the events 
involving the Petitioner and her of March 15, 1991 and the morning of March 19, 1991, which 
Lovick did. 

21 . After Lovick recounted the incidents involving the Petitioner and her. Trammel asked the Petitioner 
if Lovick's statements were true and the Petitioner stated "in a way it was true." The Petitioner stated 
that he told everyone that he loved them and that Lovick probably interpreted his statement 
erroneously, that the Petitioner had a gift for Lovick because she did not have enough sick leave to 
be paid for the work day of March 18. 1991 which she had missed and that he had asked Lovick to 
go to lunch with him but that she must have interpreted the invitation in the wrong way. 

22. Later in the March 19. 1991 meeting. Trammel discussed the concept of sexual harassment and told 
the Petitioner that the incidents involving the Petitioner and Lovick were not the first occurrence of 
sexual harassment by the Petitioner that had been reported to Trammel, but that Trammel had 
respected the wishes of the employee involved in the first incident to allow that employee to handle 
the situation herself with the Petitioner without Trammel's intervention on that employee's behalf. 

23. Trammel informed the Petitioner that the Petitioner's actions could not and would not be tolerated due 
to a second report of harassment, and that the Petitioner could either resign from his employment or 
he would be terminated. 

24. Trammel suspended the Petitioner from his employment with the Respondent. 

25. A pre-dismissal conference was conducted with the Petitioner concerning his employment on March 
21. 1991. 



7:21 NORTH CAROLINA REGISTER February 1, 1993 2466 



CONTESTED CASE DECISIONS 



26. In a letter dated March 21. 1991 addressed to the Petitioner from Trammel, the Petitioner's 
employment with the Respondent was terminated based upon a pattern of uninvited advances by the 
Petitioner toward two female employees of the Respondent, the Petitioner's continued actions of 
speaking to female students on the Respondent's campus in apparent attempts to draw them into 
conversations after the Petitioner had been told by his field supervisor to stop this conduct and the 
Petitioner's failure to stay in, his assigned work area with the rest of his work crew despite warnings 
from the Petitioner's supervisor to the Petitioner to stop wandering away from the work area. 

27. Herbert Paul is the Respondent's Physical Plant Director. 

28. Upon the Petitioner's appeal of his termination from the Respondent's employ, Paul reviewed the 
matter at the Respondent's Step Two level of appeal. 

29. Paul determined that the Petitioner had committed sexual harassment in his conduct toward Flythe and 
Lovick, but that the Petitioner would be reinstated in his employment with the Respondent if the 
following three conditions were met: a written apology to Flythe and Lovick from the Petitioner for 
the Petitioner's actions towards them, the placement of a final written warning in the Petitioner's 
personnel file and the Petitioner's attendance of a course about sexual harassment given by the 
Respondent. 

30. Paul related the conditions of the reinstatement of the Petitioner's employment with the Respondent 
in a letter to the Petitioner dated June 20, 1991. 

31. In a letter to Paul from the Petitioner dated July 9, 1991, the Petitioner stated that he accepted the 
conditions of the Petitioner's reinstatement of employment with the Respondent, although the 
Petitioner did not feel that he had harassed Flythe and Lovick. 

32. Paul did not consider the Petitioner's letters of apology to Flythe and Lovick to be actual letters 
containing apologies, but considered them to be letters from the Petitioner to these female employees 
which indicated that they had misunderstood the Petitioner's statements and that the Petitioner did not 
harass them. 



33. Paul received a letter from Lovick after Lovick had obtained the Petitioner's letter of apology to her. 
Lovick informed Paul in her letter that she was not satisfied with the Petitioner's letter of apology to 
her because it did not contain an apology but instead explained how Lovick misunderstood the 
Petitioner's intentions. 

34. On July 16, 1991, which was the day which followed the Petitioner's employment reinstatement date 
of July 15, 1991, the sexual harassment course instructors Mary O'Melia and Bill Burston informed 
Paul that the Petitioner was not very receptive and that the Petitioner either did not understand or did 
not want to understand the policy concerning sexual harassment and how it related to him. 

35. On or about August 16, 1991, Paul received a report of an incident which allegedly occurred on July 
18, 1991— three days after the Petitioner's reinstatement of his employment with the Respondent— in 
which the Petitioner "went out of his way" to walk by and speak to Lovick. 

36. Paul informed the Petitioner on July 12, 1991 that upon the Petitioner's reinstatement, Paul was going 
to reassign the Petitioner in the Petitioner's job assignment because Paul did not want any contact 
between the Petitioner and the two female employees which could lead to another situation involving 
an allegation of sexual harassment. 

37. On August 28, 1991 , a pre-dismissal conference was conducted in Paul's office which involved Paul, 



2467 7:21 NORTH CAROLINA REGISTER February 1, 1993 



CONTESTED CASE DECISIONS 



the Petitioner and Collin Rustin of the Respondent's Counseling Office. 

38. The Petitioner stated at the pre-dismissal conference that he had walked around an area on the 
Respondent's grounds past Lovick, turned around and retraced his steps. The Petitioner indicated that 
he spoke to Lovick each of the two times that he passed her. 

39. In a letter dated August 29, 1991 addressed to the Petitioner from Paul, the Petitioner was informed 
that the conditions of the Petitioner's reinstatement had not been met, that Paul was rescinding the 
Petitioner's reinstatement and that the Petitioner's employment was terminated. 

CONCLUSIONS OF LAW 

1 . The United States Supreme Court case of McDonnell Douglas Corporation v^ Green , 41 1 U.S. 792, 
93 S.Ct. 817, 36 L.Ed. 2d 668 (1973) establishes that in a discrimination case, the charging party 
must establish a prima facie case of discrimination by providing sufficient facts in order to raise an 
inference of discrimination. The responding party then must rebut this inference by presenting 
evidence that the basis for its action was a legitimate, nondiscriminatory reason. The charging party 
then has the opportunity to provide evidence that the responding party's reasons for its actions are 
pretextual. 

2. The Petitioner has not established a prima facie case of racial discrimination due to his failure to 
provide sufficient facts in order to raise an inference of racial discrimination by the Respondent. 

3. Title 25, Chapter 1C, Section .0214(b) of the North Carolina Administrative Code defines the term 
"sexual harassment" as deliberate, unsolicited, and unwelcome verbal and/or physical conduct of a 
sexual nature or with sexual implications by a supervisor or co-worker which: 

(1) has or may have direct employment consequences resulting from the acceptance or rejection 
of such conduct; or 

(2) creates an intimidating, hostile or offensive working environment; or 

(3) interferes with an individual's work performance. 

4. The Petitioner committed sexual harassment in his conduct toward Demetrious Flythe and Karen 
Lovick through his deliberate, unsolicited and unwelcome verbal and physical conduct of a sexual 
nature and with sexual implications which created an intimidating and offensive working environment 
for these co-workers of the Petitioner. 

5. North Carolina General Statutes Section 126-35 states, in pertinent part, that no permanent employee 
subject to the State Personnel Act shall be discharged for disciplinary reasons, except for just cause. 

6. The Respondent had just cause to dismiss the Petitioner from its employ based upon the Petitioner's 
acts of sexual harassment toward Demetrious Flythe and Karen Lovick, who were co-workers of the 
Petitioner in the Respondent's employ. 

RECOMMENDATION 

It is recommended that the Respondent's dismissal of the Petitioner from its employ be upheld on the 
basis of just cause, in the absence of any evidence that the Respondent discriminated against the Petitioner on 
the basis of race in effecting his dismissal. 



7:21 NORTH CAROLINA REGISTER February 1, 1993 2468 



CONTESTED CASE DECISIONS 



ORDER 

It is hereby ordered that the agency serve a copy of the final decision on the Office of Administrative 
Hearings, P.O. Drawer 27447, Raleigh, N.C. 2761 1-7447, in accordance with North Carolina General Statute 
150B-36(b). 

NOTICE 

The agency making the final decision in this contested case is required to give each party an 
opportunity to file exceptions to this recommended decision and to present written arguments to those in the 
agency who will make the final decision. G.S. 150B-36(a). 

The agency is required by G.S. 150B-36(b) to serve a copy of the final decision on all parties and to 
furnish a copy to the parties' attorney of record and to the Office of Administrative Hearings . 

The agency that will make the final decision in this contested case is the State Personnel Commission. 

This the 7th day of January, 1993. 



( 



Michael Rivers Morgan 
Administrative Law Judge 



( 



2469 7:21 NORTH CAROLINA REGISTER February 1, 1993 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 
COUNTY OF HALIFAX 



IN THE OFFICE OF 

ADMINISTRATIVE HEARINGS 

92 DOJ 0641 



KENNY WAYNE THOMPSON, 
Petitioner, 

vs. 

N.C. CRIMINAL JUSTICE EDUCATION AND 
TRAINING STANDARDS COMMISSION. 
Respondent. 



PROPOSED DECISION 



For Petitioner: 



This matter was heard before Julian Mann. Ill, Chief Administrative Law Judge, on October 29, 
1992, in the Halifax County Courthouse, Halifax, North Carolina. The record closed with the receipt of the 
Petitioner's "Proposal for Decision" on December 7, 1992. 



APPEARANCES 

Ronnie C. Reaves 

Ronnie C. Reaves, P. A. 

Attorney at Law 

P. O. Box 587 

Weldon, North Carolina 27890 

Attorney for Petitioner 

Robin P. Pendergraft 

Special Deputy Attorney General 

N. C. Department of Justice 

P. O. Box 629 

Raleigh, North Carolina 27602-0629 

Attorney for Respondent 

ISSUE 



For Respondent: 



Whether it is proper for Respondent to suspend Petitioner's Law Enforcement Officer certification 
for knowingly making a material misrepresentation of any information required for certification. 



RIFLE AT ISSUE 

12 NCAC 9A .0204(b)(6) 
EXHIBITS 

Petitioner's Exhibits #1, #2 



For Petitioner: 
For Respondent: 



For Petitioner: 



Respondent's Exhibits #1, 1A, IB. 1C, ID, IE. IF, 1G, 1H, II, 
U, IK, 2A, 2B, 2C, 2D, 3A, 3B. 3C, 3D, 3E, 4, 5 

WITNESSES 

Kenny Wayne Thompson, Petitioner 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2470 



CONTESTED CASE DECISIONS 



Wayne Medlin 
Raymond Vaughan 
Theodore Mayer 
Margaret Burgwyn 

For Respondent: Scott Perry 

FINDINGS OF FACT 

Stipulated Facts 

The parties stipulated to the following facts: 

1 . Both parties are properly before this Administrative Law Judge, in that jurisdiction is proper, 
that both parties received notice of hearing, and that Petitioner received notice of Deferral of his Law 
Enforcement Officer Certification by Respondent on May 14, 1992. 

2. The North Carolina Criminal Justice Education and Training Standards Commission 
(hereinafter referred to as the Commission) has the authority granted under Chapter 17C of the North Carolina 
General Statutes and Title 12 of the North Carolina Administrative Code. Chapter 9, to certify criminal justice 
officers and to deny, revoke or suspend such certification consistent with the law. 

3. Petitioner applied with the North Carolina Criminal Justice Training and Standards Council 
(Respondent's predecessor) for certification as a Law Enforcement Officer with the Enfield Police Department 
in February 1978. 

4. Petitioner was issued a probationary certification (PRA240803254) by the North Carolina 
Criminal Justice Training and Standards Council effective February 3. 1978. 

5. Petitioner was issued a general certification (GNA240803254) as a Law Enforcement Officer 
by the Criminal Justice Training and Standards Council effective March 6, 1979, and thereafter, subsequent 
general certifications were issued upon transfer to new police departments: Weldon Police Department 
effective January 15. 1980: Weldon Police Department effective October 1. 1982: Zebulon Police Department 
effective February 28. 1984; Weldon Police Department effective June 13, 1985: Enfield Police Department 
effective May 22. 1987; and Garysburg Police Department effective March 9. 1989. 

6. As part of this transfer to different law enforcement agencies. Petitioner completed Report 
of Appointment forms (Form F-5 and F-5A) and Personal History Statements (Form F-3). 

Based upon the foregoing Stipulations and the greater weight of the evidence, the undersigned makes 
the following: 

FINPLNGS OF FACT 

1 . The Office of Administrative Hearings has jurisdiction over this contested case pursuant to 
Chapters 17C and 150B of the North Carolina General Statutes. 

2. Respondent is an agency of the State of North Carolina. 

3. Petitioner is a citizen and resident of the State of North Carolina and is presently married. 

4. Petitioner had 1 1 different warrants for arrest for various misdemeanor offenses (Respondent's 
Exhibits 1A-1K): 



U71 7:21 NORTH CAROLINA REGISTER Februan 1, 1993 



CONTESTED CASE DECISIONS 



DATE OF 



OFFENSE 

Domestic Criminal Trespass 
Assault on a Female 
Larceny 

Assault on a Female 
Common Law Robbery 
Assault with a Deadly Weapon 
Assault with a Deadly Weapon 
Damage to Personal Property 
Assault on a Female 
Domestic Criminal Trespass 
Assault on a Female 



NUMBER 


OFFENSE 


DISPOSITION 


82 CR 7122 


7/04/82 


Dismissed 11/19/82 


82 CR 7127 


7/04/82 


Dismissed 11/19/82 


82 CR 9266 


8/27/82 


Dismissed 11/19/82 


82 CR 9267 


8/27/82 


Dismissed 11/19/82 


83 CR 6555 


6/13/83 


Dismissed 8/17/83 


83 CR 6556 


6/13/83 


Dismissed 8/17/83 


83 CR 6557 


6/13/83 


Dismissed 8/17/83 


83 CR 6558 


6/13/83 


Dismissed 8/17/83 


83 CR 6559 


6/13/83 


Convicted 8/17/83 


83 CRS 11146 


9/14/83 


Convicted 1/16/84 


83 CRS 11147 


9/24/83 


Dismissed 1/16/84 



5. Four forms entitled, "Report of Appointment/Application for Certification" (Form F-5A LE) 
were completed upon transferring to the four law enforcement agencies named below (Respondent's Exhibits 
2A-2D). These forms are required to be sent to Respondent before an officer may be certified with the 
requesting agency, and such forms were received by Respondent from the following law enforcement agencies 
on the following dates: Weldon Police Department 6/13/85; Enfield Police Department 5/22/87; Garysburg 
Police Department 3/8/89; and Woodland Police Department 4/27/92. 

6. On each of the Form F-5A LE there was a space provided where the Petitioner was required 
to list each criminal offense charge and the disposition of each case. 

7. On each and every Form F-5A LE this record section was left blank. 

8. Respondent signed each Form F-5A LE indicating that the information submitted was 
complete and accurate and above the certification: "I further understand and agree that any omission, 
falsification, or misrepresentation of any factor or portion of such information can be the sole basis for 
termination of my employment and/or denial or revocation of my certification at any time, now or later." 

9. Petitioner completed a Personal History Statement (Form F-3) (Respondent's Exhibits 3A-3E) 
for each of the law enforcement agencies listed below and answered the question regarding arrest by police 
in the following manner: 



AGENCY 



Zebulon PD 

(1-23-84) 



QUESTION 

Have you ever been 
arrested or detained by 
police? 



ANSWER 

Yes. Assault on Female. Weldon 
Police Department. No-contest 
(Disposition) 



Domestic Trespass. Halifax Sheriff 
Department No-contest (Disposition) 



B. 



Weldon PD 
(6-10-85) 



Have you ever been 
arrested by police? 



Yes. AOF/Trespass. Halifax County 
Sheriff. 07-83 



Stop sign. Raleigh (agency). 01-85. 
Paryer for Judgement [sic] 
Disposition 



Enfield PD 
(5-15-87) 



Have you ever been 
arrested by police? 



Yes. Domester [sic]. Halifax County 
Sheriff [agency] 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2472 



CONTESTED CASE DECISIONS 



D. Garysburg PD Have you ever been (No answer given) 
(2-7-89) arrested by police? 

E. Woodland PD Have you ever been charged (No answer given) 
(4-21-92) with a criminal offense? 

10. The Form F3 is submitted to the employing agency as part of the application process and is 

not as a matter of course sent to Respondent. 

1 1 . Petitioner is 40 years old and has been in law enforcement for about 15 years; after working 

at Enfield Police Department for about two years, he transferred to Weldon Police Department. 

12. While at Weldon, Petitioner and his former wife began to have marital problems and they 
separated. 

13. All 1 1 charges, which occurred between July 1982 to September 1983, arose out of problems 
with his former wife. Hazel Thompson, and her boyfriend, Milton Johnson. The underlying validity of the 
charges were suspect. All the offenses were dismissed except for two - assault on a female and domestic 
criminal trespass, both of which involved the entry of no-contest pleas. 

14. Linwood Ricks, the Chief of Police at Weldon. served some of the warrants on Petitioner 
during that time. When he re-applied with Weldon Police in June 1985, Petitioner discussed his convictions 
and other charges with Chief Ricks. 

15. In 1987, Petitioner went to work with the Enfield Police Department part time to supplement 
his income. Mike Gaither, Chief of Police at Enfield, had full knowledge of all Petitioner's charges. 

16. Petitioner admits that he did not list the charges on the Applications For Certification (Form 
F-5A LE), but believed that his employers were to complete the arrest section. Petitioner believed that his 
answers to the question about his arrest record on the Personal History Statements, (Form F-3) for Zebulon, 
Weldon and Enfield Police Departments, were sufficient. In Petitioner's opinion, the Chiefs from Weldon, 
Enfield and Garysburg Police Departments were aware of his record. 

17. Petitioner did not inform the Zebulon Police Department of the specific charges, but only told 
them he had marital problems in the past. 

18. Petitioner believed that all the agencies involved were familiar with the charges, and further. 
Petitioner believed that these bad problems were over. He wanted to put these incidents in the past since they 
were not "a pleasant experience" for him. He also added that these charges were not something he was trying 
to hide, since if anyone had asked him he would have told them about it. 

19. Margaret Elizabeth Burgwyn, Police Commissioner for the Woodland Police Department, 
testified on Petitioner's behalf and indicated that: the Town of Woodland decided to hire Petitioner as their 
police chief in the Spring of 1992; the Woodland interview committee asked 

Petitioner whether he had every had any trouble with the law. Petitioner replied that he had "some domestic 
problems but that's all over now." After offering Petitioner the job, the town learned of the 1 1 criminal 
charges. Petitioner withdrew his acceptance of the chief position and the town board recommended that 
Petitioner be hired as an auxiliary officer with Woodland Police Department and was sworn in September 
1992. In Ms. Burgwyn's opinion. Petitioner is a man of high integrity and sound character and that 
Respondent should consider probationary status for Petitioner (Petitioner's Exhibit #1). 

20. Joseph Wayne Medlin is the Chief of Police, Zebulon Police Department and has known 
Petitioner since 1984 when he served as Petitioner's sergeant. Petitioner discussed the criminal charges with 
him and he was unaware that Petitioner had a "Class B" misdemeanor conviction. Medlin "hated to see him 



2473 7:21 NORTH CAROLINA REGISTER February 1, 1993 



CONTESTED CASE DECISIONS 



(Petitioner) leave" and Petitioner left Zebulon in good standing. 

2 1 . Raymond Rudolph Vaughan is the Chief of Police, Garysburg Police Department. Petitioner 
was a part time officer with Garysburg Police Department; Petitioner exceeded expectations in his work and 
was a professional Law Enforcement Officer; he was familiar with Petitioner's marital problems, but was not 
aware that Petitioner had criminal charges, and he had relied on prior agencies' background checks on 
Petitioner. 

22. Theodore "Mike" Mayer was the past Chief of Police, Enfield Police Department, and 
presently serves as the Director of Public Safety in Wilmington. Petitioner's work at Enfield had been 
excellent; he had named Petitioner operations supervisor and second in command; Petitioner discussed charges 
with him after he had received a copy of Respondent's suspension letter and that he was satisfied with 
Petitioner's answers. He found Petitioner to be completely reliable and with great integrity. While he would 
follow whatever mandate the Commission may impose, he believed that Petitioner's continued service would 
be in the best interest of law enforcement in North Carolina and Enfield. 

Based upon the foregoing Stipulations and Findings of Fact, the undersigned makes the following: 

CONCLUSIONS OF LAW 

1 . The Office of Administrative Hearings has jurisdiction over this contested case pursuant to 
Chapters 17C and 150B of the North Carolina General Statutes. 

2. The North Carolina Criminal Justice Education and Training Standards Commission has the 
authority, pursuant to G.S. 17C-6, to establish minimum standards for the certification of persons to be 
employed and retained as criminal justice officers. 

3. The Personal History Statement (Form F-3) and the Report of Appointment/Application for 
Certification (Form F-5A LE) are required documents in the process for certification as a law enforcement 
officer. 

4. Petitioner's failure to list his 1 1 criminal charges, which includes two misdemeanor 
convictions, on his Personal History Statements for Zebulon. Weldon, Enfield, Garysburg and Woodland 
Police Departments, constituted misrepresentations. 

5. Petitioner's misrepresentations on these Personal History Statements were knowingly made 
and were material. 

6. Petitioner's failure to list his 1 1 criminal charges, which included two misdemeanor 
convictions, on his Report of Appointment/ Application for Certification (F-5A LE) with the Weldon, Enfield, 
Garysburg and Woodland Police Departments constituted misrepresentations. 

7. Petitioner's misrepresentations on these Report of Appointments/Applications for Certification 
forms were knowingly made and were material. 

8. Respondent has sufficient cause to suspend Petitioner's certification as a Law Enforcement 
Officer for knowingly making a material misrepresentation of information required for certification in violation 
of 12 NCAC 09A .0204(b)(6). 

9. Pursuant to 12 NCAC 9A .0205(b)(4) the Respondent, following an administrative hearing, 
has the discretion to "substitute a period of probation in lieu of suspension." Factors which indicate that 
Respondent should exercise its probationary discretion are: 

a. The criminal charges, which were of questionable validity, arose in a time 

of a previous marital separation with the date of all offenses being over 10 years ago: 



7:21 NORTH CAROLINA REGISTER February 1, 1993 2474 



CONTESTED CASE DECISIONS 



b. There is no indication in the record that these offenses represented a 
character defect or a pattern of assaultive behavior by the Petitioner; 

c. Petitioner disclosed the substance of the offenses in two Personal History m 
Statements (Respondent's Exhibits #3A and 3B) and verbally to prospective employers; M 

d. Some of the Petitioner's instances of his failure to disclose were more in the 
nature of negligent omissions than an intentional misrepresentation; 

e. Petitioner's former employers all testified in positive and laudatory terms 
about his abilities as a Law Enforcement Officer: 

1 . Chief Medlin (Zebulon) was aware of his past marital difficul- 
ties and "...hated to see him (Petitioner) leave." 

2. Chief Vaughan (Garysburg) testified he was aware of his past 
marital difficulties and that Petitioner performed in a professional manner 
and exceeded expectations. 

3. Theodore Mayer (present Director of Public Safety - 
Wilmington) testified he was aware of his past marital difficulties and: "I 
found him completely reliable; his continued service would be in the best 
interest of law enforcement." 

4. Margaret Burgwyn (prospective employer). Town of Woodland, 
stated in writing (Petitioner's Exhibit #1) "However I hope you (Respon- 
dent) will consider the human as well as the factual circumstances in this 
case and that you might consider a probationary period rather than 
revocation of his certification." 

Based upon the foregoing Stipulations, Findings of Fact and Conclusions of Law, the undersigned 
recommends as his proposal for decision the following: 

1 . That Petitioner's certification as a Law Enforcement Officer be suspended for a period of one 
(1 ) year. 

2. That the one (1) year suspension be stayed for a period of five years upon specific terms of 
probation to include that Petitioner not violate any of Respondent's rules for maintaining certification and such 
other terms of probation as Respondent deems necessary. 

ORDER 

It is hereby ordered that the agency serve a copy of the final decision on the Office of Administrative 
Hearings, P.O. Drawer 27447, Raleigh, N.C. 2761 1-7447. in accordance with North Carolina General Statute 
150B-36(b). 

NOTICE 

The agency making the final decision in this contested case is required to give each party an 
opportunity to file exceptions and proposed findings of fact and to present oral and written arguments to the 
agency. G.S. 150B-40(e). 



A copy of the final agency decision or order shall be served upon each party personally or by certified 
mail addressed to the party at the latest address given by the party to the agency and a copy shall be furnished 
to his attorney of record. G.S. 150B-42(a). It is requested that the agency furnish a copy to the Office of 



2475 7:21 NORTH CAROLINA REGISTER February 1, 1993 



( 



CONTESTED CASE DECISIONS 



Administrative Hearings. 

The agency that will make the final decision in this contested case is the North Carolina Justice 
Education and Training Standards Commission. 



This the 15th day of January, 1993. 



Julian Mann, III 

Chief Administrative Law Judge 



7:21 NORTH CAROLINA REGISTER February 1, 1993 2476 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 



COUNTY OF WAKE 



IN THE OFFICE OF 
ADMINISTRATIVE HEARINGS 
92 ABC 0739 



i 



MS. JOYCE ANN DAVIS T/A JOYCE'S GRILL 
505 HORTON STREET, ZEBULON, NC 27597 
Petitioner, 



\ . 



NC ABC COMMISSION 
Respondent. 



RECOMMENDED DECISION 



The above-captioned contested case was heard on Friday, December 18, 1992, before Administrative 
Law Judge Sammie Chess, Jr. The hearing was conducted in the Lee House in Raleigh, North Carolina. This 
cause was initiated by the Petitioner's filing of a petition in the office of Administrative Hearings on or about 
June 29. 1992. in order to contest Respondent's denial of Petitioner's application for an ABC Permit. 

APPEARANCES 



For Petitioner: 



Maola Jones 

JONES. AVERY and WILLIS Attorney at Law 

Post Office Box 28270 

Raleigh, North Carolina 



< 



For Respondent: 



Larry S. Height 
Chief Agency Legal Specialist 
N.C. ABC Commission 
Post Office Box 26687 
Raleiah, North Carolina 



For Respondent 



Diane Jenski 

J. Wayne Medlin 



For Petitioner 



Joyce Ann Davis (Petitioner) 



WITNESSES 



ISSUE 



Whether Respondent unjustly denied Petitioner's application for on-premise beer and unfortified wine 
on the grounds of local government objections and reputation of the petitioner under N.C. Gen. Stat. 18B-900 
and 18B-901. 



( 



2477 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



CONTESTED CASE DECISIONS 



Based upon the greater weight of the evidence admitted at the hearing, which by its nature requires 
determination of credibility based on personal observation of witness demeanor, the Administrative Law Judge 
makes the following: 

FINDINGS OF FACT 

1. Petitioner is a citizen and resident of Wendell, Wake County, North Carolina. 

2. Respondent is the North Carolina Alcoholic Beverage Control Commission which exercises 
powers and duties as found in Chapter 18B of the North Carolina General Statutes. 

3. Petitioner filed application for a permanent ABC permit and the application was disapproved 
which gave rise to the filing of Petitioner's contested case petition. 

4. The respondent, ABC Commission issued a permit to Titus Capers to sell on-premise beer 
and unfortified wine in an establishment called Capers Sports Club Bar which was operated in same building 
and situated at the same location for nine (9) months. The previous owner, Titus Capers, sold this bar along 
with the surrounding six (6) acres of property to Petitioner, Ms. Joyce Ann Davis. 

5. The Petitioner is thirty-seven years of age. 

6. The Petitioner is a resident of North Carolina. 

7. The Petitioner has never been convicted of a felony. 

8. The Petitioner, operates another establishment on Arendell Avenue in Zebulon and has been 
issued a permit by the Respondent to sell on-premise beer and unfortified wine at that establishment. 

9. The Petitioner has never been convicted of an alcoholic beverage offense. 

10. The Petitioner has never been convicted of a misdemeanor or of a controlled substance 
offense. 

1 I. The Petitioner has never had an Alcoholic Beverage permit revoked. 

12. Petitioner has never been cited for a building or fire code violation at the 505 Horton Street 
location. 

13. There are no other businesses of this type operating in the area. 

14. Only one occupied residence is located in the immediate area. This residence is located 
across the street from the 505 Horton Street establishment and the residents have made no objections to the 
location and operation of this establishment. The Petitioner owns the house located adjacent to the 
establishment and this house is unoccupied. A water and sewer treatment plant operated by the Town of 
Zebulon is immediately adjacent to the Petitioner's establishment. A knitting mill factory is located some 500 
feet from the establishment. 

15. The hours of operation for Joyce's Grill are from 9:00 p.m. to 3:30 a.m. on Fridays and 
Saturdays. 



7:21 NORTH CAROLINA REGISTER February 1, 1993 2478 



CONTESTED CASE DECISIONS 



16. A fight erupted suddenly at the Petitioner's establishment during which her employee, a 
bouncer, shot a patron. This disagreement had its genesis outside of the Petitioner's establishment. The 
Petitioner subsequently fired the bouncer/employee and warned the patrons who were involved in the affray 
not to return to the establishment. Moreover, the Petitioner hired additional personnel to pat-down entering 
patrons for guns and drugs and to patrol both the inside of the establishment and the establishment's parking 
lot. 

17. The Petitioner installed spot lights in the parking lot to facilitate patrol of the area and has 
put $2,000.00 worth of gravel throughout the parking lot. The Petitioner also plans to expand the parking 
lot after the city completes its right-of-way construction. 

18. The establishment is located in an area that is zoned business/commercial. 

19. The establishment is located in a curve in the road. 

20. The Zebulon Police Department received calls and made arrests at other locations in Zebulon, 
notably the Triangle East Center; these calls and arrests were similar in nature and in number as those calls 
and arrests which occurred at Joyce's Grill. 

Based on the foregoing Findings of Fact, the undersigned Administrative Law Judge makes the 
following: 

CONCLUSIONS OF LAW 

1 . Respondent and Petitioner stipulated that the Petitioner is of good reputation and character, 
has a clean criminal record, and is a suitable person to hold an ABC permit for which she has applied. 

2. The Respondent with full knowledge of the parking facilities and that the facility was located 
in a curve in the road issued permits to the previous owner to sell on-premise beer and unfortified wine. No 
objections as to the suitability of this location were made by the Respondent at the time during which the 
previous owner applied for and subsequently was issued an ABC permit to sell on-premise beer and unfortified 
wine at this location. Petitioner has made improvements in the parking facilities with the addition of lights 
and gravel. If the location were suitable under a prior owner, it should be a suitable location for the 
Petitioner, especially considering the improvements the Petitioner made to the parking area. 

3. The location and operation of the Petitioner's establishment meets the requirements of N.C. 
Gen. Stat. 18B-901 in that: 

a. The establishment is not located within 50 feet of a church or public school or 
church school. 

b. There is no other business of this type operating in the area. 

c. The establishment is appropriately located in an area which is zoned for this type of 
business. 

4. Although violence in any form is abhorred, the evidence regarding the fight that occurred at 
the Petitioner's establishment did not rise to the level as to convince the undersigned that the Petitioner should 
be disqualified from receiving an ABC Permit. The Petitioner, as a result of the affray, made reasonable 
efforts in good faith to correct the situation by firing the bouncer/employee and by increasing the number of 
employees to patrol both the interior of the establishment and the parking lot. 

Based upon the foregoing Findings of Fact and Conclusions of Law. the Administrative Law Judge makes 
the follow ins: 



2479 7:21 NORTH CAROLINA REGISTER February 1, 1993 



CONTESTED CASE DECISIONS 



RECOMMENDED DECISION 

The undersigned recommends to the Respondent ABC Commission that Respondent's decision to 
disapprove Petitioner's permit application be reversed and that Petitioner receive from the Respondent all ABC 
permits (both temporary and permanent) for which Petitioner applied and was denied. 

ORDER 

It is hereby ordered that the agency serve a copy of the final decision on the Office of Administrative 
Hearings, P.O. Drawer 27447, Raleigh, NC 2761 1-7447 in accordance with N.C. Gen. Stat. 150B-36(b). 

NOTICE 

The agency making the final decision in this contested case is required to give each party an 
opportunity to file exceptions to this recommended decision and to present written arguments to those in the 
agency who will make the final decision. N.C. Gen. Stat. 150B-36(a). 

The agency is required by N.C. Gen. Stat. 15B-36(b) to serve a copy of the final decision on all 
parties and to furnish a copy to the parties' attorney of record and the to Office of Administrative Hearings . 

The agency that will make the final decision in this contested case is the North Carolina Alcoholic 
Beverage Control Commission. 

This the 6th day of January, 1993. 



Sammie Chess Jr. 
Administrative Law Judge 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2480 



NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM 



1 he North Carolina Administrative Code (NCAC) has four major subdivisions of rules. Two of these, 
titles and chapters, are mandatory: Tlie major subdivision of the NCAC is the title. Each major 
department in the North Carolina executive branch of government has been assigned a title number. 
Titles are further broken down into chapters which shall be numerical in order. Tlie other two, 
subchapters and sections are optional subdivisions to he used by agencies when appropriate. 



TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 
TITLE DEPARTMENT LICENSING BOARDS CHAPTER 



1 


Administration 


Architecture 




2 


2 


Agriculture 


Auctioneers 




4 


3 


Auditor 


Barber Examiners 




6 


4 


Economic & Community Development 


Certified Public Accountant Examiners 


8 


5 


Correction 


Chiropractic Examiners 




10 


6 


Council of State 


General Contractors 




12 


7 


Cultural Resources 


Cosmetic Art Examiners 




14 


X 


Elections 


Dental Examiners 




16 


9 


Governor 


Dietetics/Nutrition 




17 


10 


Human Resources 


Electrical Contractors 




18 


II 


Insurance 


Electrolysis 




19 


12 


Justice 


Foresters 




20 


13 


Labor 


Geologists 




21 


14A 


Crime Control & Public Safety 


Hearing Aid Dealers and Fitters 




22 


15A 


Environment. Health, and Natural 


Landscape Architects 




26 




Resources 


Landscape Contractors 




28 


16 


Public Education 


Marital and Family Therapy 




31 


17 


Revenue 


Medical Examiners 




32 


18 


Secretary of State 


Midwifery Joint Committee 




33 


19A 


Transportation 


Mortuary Science 




34 


20 


Treasurer 


Nursing 




36 


21 


Occupational Licensing Boards 


Nursing Home Administrators 




37 


22 


Administrative Procedures 


Occupational Therapists 




38 


23 


Community Colleges 


Opticians 




40 


24 


Independent Agencies 


Optometry 




42 


25 


State Personnel 


Osteopathic Examination & Reg. (Repealed) 


44 


26 


Administrative Hearings 


Pharmacy 

Physical Therapy Examiners 




46 

4S 






Plumbing. Heating & Fire Sprinkler 


Contractors 


50 






Podiatry Examiners 




52 






Practicing Counselors 




53 






Practicing Psychologists 




54 






Professional Engineers & Land Sur\ 


eyors 


56 






Real Estate Commission 




58 






Refrigeration Examiners 




60 






Sanitarian Examiners 




62 






Social Work 




63 



Speech & Language Pathologists & Audiologists 64 
Veterinary Medical Board 66 



Note: Title 21 contains the chapters of the various occupational licensing boards. 



2481 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



CUMULATIVE INDEX 



CUMULATIVE INDEX 

(April 1992 - March 1993) 



Pages 



Issue 



1 - 105 1 

106 - 173 2 

174 - 331 3 

332 - 400 4 

401 - 490 5 

491 - 625 6 

626 - 790 7 

791 - 902 8 

903 - 965 9 

966 - 1086 10 

1087 - 1154 11 

1155 - 1253 12 

1254 - 1350 13 

1351 - 1463 14 

1464 - 1640 15 

1641 - 1720 16 

1721 - 1828 17 

1829 - 2059 18 

2060 - 2215 19 

2216 - 2381 20 

2382 - 2484 21 

ADMINISTRATION 

Administration's Minimum Criteria, 2396 

Auxiliary Services, 4 

Environmental Policy Act, 2385 

Low-Level Radioactive Waste Management Authority, 2391 

Motor Fleet Management Division, 794 

AGRICULTURE 

Gasoline and Oil Inspection Board, 336 

Pesticide Board, 1276 

Plant Industry, 904, 2219 

Structural Pest Control Committee, 332 

Veterinary Division, 342 

COMMERCE 

Cemetery Commission, 2398 

COMMUNITY COLLEGES 

Community Colleges, 1535 
General Provisions, 1531 
Miscellaneous Programs, 1598 

CULTURAL RESOURCES 

Archives and History, 2224 
U.S.S. Battleship Commission, 911 

ECONOMIC AND COMMUNITY DEVELOPMENT 

Banking Commission, 629, 1467 



April 

April 

May 

May 

June 

June 

July 

July 

August 

August 

September 

September 

October 

October 

November 

November 

December 

December 

January 

January 

February 



7:21 



NORTH CAROLINA REGISTER 



February 1, 1993 



2482 



CUMULATIVE INDEX 



Community Assistance, 909, 968 

Departmental Rules, 801 

Savings Institutions Division, 1833 

ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Adult Health. 1 199 

Coastal Management. 211, 655, 1098, 1507 

Departmental Rules. 826, 1852 

Environmental Health, 223, 2439 

Environmental Management, 190, 416, 500, 644, 830, 1013, 1487, 1856, 2086, 2308, 2438 

Governor's Waste Management Board, 564, 920, 1 197 

Health: Epidemiology, 140, 1212 

Health: Personal Health, 1217 

Health Services, 52, 659, 1 174. 1736, 1985, 2141 

Marine Fisheries, 530 

NPDES Permits Notices, 1, 107 

Radiation Protection, 136. 1520, 1863, 2087 

Sedimentation Control, 920 

Vital Records, 565 

Wildlife Resources Commission, 28, 133. 408, 449, 551, 921, 1299, 1414, 1658. 1736 

Wildlife Resources Commission Proclamation. 176, 2082 

FINAL DECISION LETTERS 

Voting Rights Act. 106, 174, 406, 493, 628, 793, 966, 1090, 1275, 1465, 1644, 1721, 2384 

GENERAL STATUTES 

Chapter 150B. 1254, 2060 

GOVERNOR/LT. GOVERNOR 

Executive Orders, 401, 491, 626, 791, 903, 1087, 1 155, 1351, 1464, 1641, 1829, 2081, 2216, 2382 

HUMAN RESOURCES 

Aging, Division of, 121, 346 

Day Care Rules, 123 

Economic Opportunity, 5 

Facility Services, 111, 177, 496, 634, 980, 1352, 1647, 2404 

Medical Assistance, 4, 415, 496, 816. 989, 1156, 1295, 1391, 1649, 1723, 1842, 2083, 2228 

Mental Health, Developmental Disabilities and Substance Abuse Services, 111. 297, 409, 809, 1092, 1276. 

2225 
Social Services Commission, 183, 911, 1471, 2419 

INDEPENDENT AGENCIES 

Housing Finance Agency, 450, 576. 928, 1219 
Safety and Health Review Board, 2190 

INSURANCE 

Actuarial Services Division, 1411 
Admission Requirements, 2304 
Agent Services Division, 1410 
Consumer Services Division, 125. 1157, 2239 
Departmental Rules, 7, 1095, 1405 
Engineering and Building Codes, 19, 643 
Financial Evaluation Division, 1162, 1849, 2242 
Fire and Rescue Services Division, 17, 1406 
Hearings Division. 124. 1096 



2483 7:21 NORTH CAROLINA REGISTER February 1, 1993 



i 



( 



CUMULATIVE INDEX 



Life and Health Division, 22, 347, 1167, 2300 

Market Conduct Division, 1850 

Medical Database Commission, 1650 

Property and Casualty Division, 20, 1848 

Seniors' Health Insurance Information Program, 132 

JUSTICE 

Alarm Systems Licensing Board, 27, 189, 643, 919, 1414, 1486, 1732 

Criminal Information, 1097 

General Statutes Commission, 353 

Private Protective Services, 918, 1731 

Sheriffs Education and Training, 990 

State Bureau of Investigation, 188, 499, 1413 

LICENSING BOARDS 

Architecture, 1111 

Certified Public Accountant Examiners, 355 

Chiropractic Examiners, 1416 

Cosmetic Art Examiners, 360, 922, 1669, 2331 

Dietetics/Nutrition, 923 

Electrical Contractors, 1785, 2332 

Electrolysis Examiners, 69, 700 

Geologists, 1792 

Medical Examiners. 1304, 1417, 1987, 2441 

Mortuary Science, Board of, 2184 

Nursing, Board of, 232, 700, 1528 

Opticians, 1793 

Optometry, 2338 

Pharmacy. Board of, 1418 

Professional Engineers and Land Surveyors, 566 

Speech and Language and Pathologists and Audiologists, 705 

LIST OF RULES CODIFIED 

List of Rules Codified, 72, 362, 452, 584, 1671, 2352 

PUBLIC EDUCATION 

Departmental Rules, 1108 

Elementary and Secondary, 852, 1 108, 1666 

REVENUE 

License and Excise Tax, 712 
Motor Fuels Tax. 361 

STATE PERSONNEL 

Office of State Personnel, 237, 705, 1 1 13, 1419, 2005 

TAX REVIEW BOARD 

Orders of Tax Review, 494 

TRANSPORTATION 

Highways, Division of, 228, 856, 1062, 1110, 1669, 1781 
Motor Vehicles, Division of, 68, 142 



7:21 NORTH CAROLINA REGISTER February 1, 1993 2484 



( 



( 



NORTH CAROLINA ADMINISTRATIVE CODE 



The full publication consists of 53 volumes, totaling in excess of 15,000 pages. It is supplemented monthly 
with replacement pages. A one year subscription to the full publication including supplements can be 
purchased for sex-en hundred and fifty dollars ($750. 00). Individual volumes may also be purchased with 
supplement service. Renewal subscriptions for supplements to the initial publication are available at one-half 
the new subscription price. 



PRICE LIST FOR THE SUBSCRIPTION YEAR 











New 


j me 


Title 


Chapter 


Subject Subscription 


53 


Full Code 




All titles 


$750.00 


1 


1 


1 - 38 


Administration 


90.00 


2 


2 


1 - 24 


Agriculture 


75.00 


3 


2 


25 - 52 


Agriculture 


75.00 


4 


3 


1 - 4 


Auditor 


10.00 


5 


4 


1 - 2 


ECD (includes ABC) 


45.00 


6 


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ECD 


90.00 


7 


5 


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Correction 


60.00 


8 


5 


3 - 4 


Correction 


30.00 


9 


6 


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Council of State 






7 


1 - 12 


Cultural Resources 


60.00 


10 


8 


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10.00 


1 1 


4 


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Governor/Lt. Governor 


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12 


10 


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90.00 


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(includes CON) 


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16 


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13 


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*1 


13 


7 


OSHA 


45.00 


32 


13 


8 - 16 


Labor 


45.00 


33 


14A 


1-11 


Crime Control and 
Public Safety 


45.00 


34 


15A 


1 - 2 


EHNR (includes EMC) 


90.00 


35 


15A 


3 - 6 


EHNR 


45.00 


36 


15A 


7 


Coastal Management 


45.00 


37 


15A 


8 - 9 


EHNR 


30.00 


38 


15A 


10 


Wildlife 


45.00 



Quantity 



Total 
Price 



Continued 



Volume 


Title 


Chapter 


New 
Subject Subscription* 


Quantity 


Total 
Price 


39 


I5A 
15A 

16 

17 

17 

IS 

19A 

20 

21 

21 

21 

22 

23 

24 

25 

26 


11-18 EHNR 90.00 
19-26 EHNR 

(includes Breathalizer) 75.00 
1 - 6 Education 30.00 
1 - 6 Revenue 75.00 
7-11 Revenue 60.00 
1 - 8 Secretary of State 30.00 
1 - 6 Transportation 90.00 
1 - 9 Treasurer 45.00 
1-16 Licensing Boards 75.00 
17-37 Licensing Boards 75.00 
38 - 70 Licensing Boards 
1 - 2 Administrative Procedures 75.00 
1 - 2 Community Colleges 10.00 
1 - 3 Independent Agencies 10.00 
1 State Personnel 60.00 
1 - 4 Administrative Hearings 10.00 

Subtotal 

(North Carolina subscribers add 6% sales tax) 

Total 






40 






41 






42 






4n 






44 






45 






46 






47 






48 






49 






50 






51 






52 






53 





















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